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

  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.

• 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.

• Richard Tock Lim Kooi

  IRN RTK01007

  • CF30 Customer (1 Nov 2007 to 16 May 2008)
  • CF21 Investment Adviser (19 Jan 2007 to 31 Oct 2007)
• Robert William Wheatley

  IRN RWW01085

  • CF30 Customer (16 Jan 2008 to 28 Mar 2008)
• Romain Rolland Peugeot

  IRN RRP01046

  • CF30 Customer (17 Jun 2015 to 18 Feb 2019)
• SHARON CLARE HARMSEY-BARREIROS

  IRN SCH01163

  • CF30 Customer (26 Nov 2010 to 7 Dec 2011)
• Sarah Charlotte Meyer

  IRN SCM01155

  • CF30 Customer (27 Jan 2010 to 25 Oct 2010)
• Sarah Leigh Healy

  IRN SLN01024

  • CF30 Customer (26 Nov 2009 to 17 Jul 2011)
• Shaun David Lorne Curry

  IRN SXC01375

  • CF30 Customer (1 Nov 2007 to 2 Dec 2009)
  • CF21 Investment Adviser (7 Jun 2004 to 31 Oct 2007)
• Slava Marc Khalamayzer

  IRN SMK01127

  • CF30 Customer (1 May 2014 to 11 Jun 2014)
• Sonia Bhasin

  IRN SXB02321

  • SMF3 Executive Director (9 Dec 2019 to 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 16 Dec 2019)
  • SMF16 Compliance Oversight (9 Dec 2019 to 16 Dec 2019)
  • CF1 Director (2 Dec 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (2 Dec 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Dec 2016 to 8 Dec 2019)
• Stephane Rouze

  IRN SXR01587

  • CF30 Customer (15 Mar 2012 to 11 Jun 2014)

• 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.