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.

• Stephanie Leyla Oncelay

  IRN SLO01012

  • CF30 Customer (15 Jan 2008 to 24 Jul 2009)
• Steven Alvarez

  IRN SXA01742

  • CF30 Customer (9 Dec 2008 to 7 Oct 2015)
• Timothy James Erland Reilley

  IRN TJR01083

  • CF30 Customer (1 Nov 2007 to 13 Jul 2009)
  • CF21 Investment Adviser (17 May 2005 to 31 Oct 2007)
• Timothy Stephen Roniger

  IRN TSR01021

  • CF11 Money Laundering Reporting (10 Jun 2005 to 21 Jul 2005)
  • CF1 Director (10 Jun 2005 to 3 Dec 2015)
• Tomasz Michal Kopycinski-Sztuka

  IRN TMS01035

  • CF30 Customer (1 Nov 2007 to 14 May 2008)
  • CF21 Investment Adviser (26 Jan 2007 to 31 Oct 2007)
• Tristan Charles Johnson Elbrick

  IRN TCE01006

  • CF30 Customer (14 May 2012 to 16 May 2012)
  • CF4 Partner (AR) (14 May 2012 to 16 May 2012)
• Tuck Wor Choo

  IRN TWC01032

  • CF11 Money Laundering Reporting (21 Jul 2005 to 14 May 2010)
  • CF10 Compliance Oversight (5 Apr 2005 to 21 Jul 2005)
• Veena Sippy

  IRN VXS01241

  • CF11 Money Laundering Reporting (15 Sep 2010 to 1 Jul 2013)
• Vincent Masateru Matsui

  IRN VMM01028

  • CF30 Customer (18 Mar 2015 to 11 Sep 2017)
• Wade Christopher Boylan

  IRN WCB01018

  • CF10 Compliance Oversight (15 Jan 2008 to 5 Sep 2011)

• 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.