MIRAE ASSET SECURITIES (UK) LTD.

• Principal Place of Business

  Mirae Asset Securities (UK) Ltd

  Tower 42

  International Financial Centre

  25 Old Broad Street

  London

  City Of London

  EC2N 1HQ

  UNITED KINGDOM

  Phone

  +442079828030

  Web

  https://securities.miraeasset.co.uk

• Complaints Contact

  Mirae Asset Securities (UK) Ltd

  Tower 42

  International Financial Centre

  25 Old Broad Street

  London

  City Of London

  EC2N 1HQ

  UNITED KINGDOM

  Phone

  +4402079828030

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Structured Deposits, 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.

• Authorised to Operate

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  • · 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, 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, Structured Deposits, Unit, Warrant

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  • · 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.

• Arranges Asset Safekeeping

  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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · 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, Spread Bet, Structured Deposits, Unit, Warrant

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  • · 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.

• Trades With You Directly

  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, Spread Bet, 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, 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, Structured Deposits, Unit, Warrant

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  • · 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.

• Holds Your Assets

  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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• ALAN MIGUEL ANDERSON RAMOS

  IRN AMA01270

  • [FCA CF] Material risk taker (23 Mar 2023 to 14 Jan 2025)
  • [FCA CF] Client dealing (23 Feb 2021 to 14 Jan 2025)
  • CF30 Customer (22 Aug 2018 to 8 Dec 2019)
• Ajit Mehta

  IRN AXM01206

  • [FCA CF] Client dealing (21 Jul 2022 to 14 Jan 2025)
• Alasdair Robert Cairns Sutherland

  IRN ARS01050

  • [FCA CF] Material risk taker (since 26 Nov 2024)
  • [FCA CF] Client dealing (since 14 Oct 2022)
• Alexei Gladkow

  IRN AXG02082

  • [FCA CF] Client dealing (14 Oct 2022 to 1 Dec 2023)
• Amirsha Hameed

  IRN AXH01287

  • CF30 Customer (1 Nov 2007 to 5 Nov 2018)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Andrea Diane Doubtfire

  IRN ADD01023

  • [FCA CF] Client dealing (4 Apr 2022 to 31 Mar 2024)
• Bo Sung Choi

  IRN BSC01028

  • CF30 Customer (1 Nov 2007 to 7 Oct 2010)
  • CF26 Customer Trading (1 Mar 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Mar 2007 to 31 Oct 2007)
• Byungil Chin

  IRN BXC00273

  • [FCA CF] Client dealing (21 Jul 2022 to 30 Apr 2023)
• Charlie Mo John Skipwith

  IRN CXS00437

  • [FCA CF] Client dealing (23 Feb 2021 to 3 Mar 2022)
• Chi Leung

  IRN CXL00211

  • [FCA CF] Client dealing (8 Jul 2021 to 13 Jun 2022)

No changes recorded yet.