LumX Asset Management (U.K.) Limited

• Principal Place of Business

  c/o S&W Partners LLP

  45 Gresham Street

  London

  EC2V 7BG

  UNITED KINGDOM

  Phone

  +442046175500

• Complaints Contact

  c/o S&W Partners LLP

  45 Gresham Street

  London

  EC2V 7BG

  UNITED KINGDOM

  Phone

  +442046175500

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Retail Investment Funds

• Specialist Investment Funds

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Eliza Teodorowska-Ruddy

  IRN EXT01218

  • CF11 Money Laundering Reporting (12 Jul 2013 to 7 Nov 2013)
• Eric Tony Armand Bissonnier

  IRN ETB01024

  • CF30 Customer (14 Sep 2017 to 8 Dec 2019)
• Francis Campeau

  IRN FXC01042

  • CF30 Customer (1 Nov 2007 to 14 May 2008)
  • CF21 Investment Adviser (26 Jan 2007 to 31 Oct 2007)
• Hashem Rastegar Arouzi

  IRN HXA01052

  • CF4 Partner (AR) (15 Oct 2012 to 7 Jun 2013)
  • CF30 Customer (15 Oct 2012 to 7 Jun 2013)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2005)
  • CF10 Compliance Oversight (1 Dec 2001 to 31 Mar 2005)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 31 Mar 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2005)
  • CF27 Investment Management (1 Dec 2001 to 31 Mar 2005)
  • CF1 Director (1 Dec 2001 to 31 Mar 2005)
• Helen Margaret Sykes

  IRN HMS01019

  • CF1 Director (15 Jan 2008 to 30 Nov 2010)
  • CF30 Customer (1 Nov 2007 to 30 Nov 2010)
  • CF10 Compliance Oversight (21 Jul 2005 to 16 Jan 2008)
  • CF21 Investment Adviser (18 Jul 2005 to 31 Oct 2007)
• Hyo-Jung Muri Rhee

  IRN HMR01016

  • CF30 Customer (1 Nov 2007 to 16 May 2008)
  • CF21 Investment Adviser (1 Feb 2007 to 31 Oct 2007)
• Hywel Evans

  IRN HXE01181

  • CF1 Director (21 Jan 2016 to 18 Nov 2016)
  • CF11 Money Laundering Reporting (21 Jan 2016 to 18 Nov 2016)
  • CF10 Compliance Oversight (21 Jan 2016 to 18 Nov 2016)
• Ilan Adrian Zermati

  IRN IXZ01063

  • CF30 Customer (23 Mar 2016 to 31 Mar 2017)
• James Hughes

  IRN JRH01164

  • CF1 Director (6 Aug 2015 to 3 Dec 2015)
  • CF30 Customer (15 Oct 2014 to 12 Jan 2016)
• James Robin Bradford Burgoyne

  IRN JRB01169

  • CF21 Investment Adviser (28 Feb 2006 to 15 Jan 2007)

• Frontier Investment Management LLP (no longer appointed)

  FRN 736181 · Appointed 12 Feb 2016 · Until 10 Apr 2017

• Above Wealth LLP (no longer appointed)

  FRN 580105 · Appointed 24 Apr 2012 · Until 13 Jun 2013

No changes recorded yet.