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.

• Daniel David Paul Kenneth Goodman

  IRN DDG01013

  • [FCA CF] Client dealing (4 Apr 2022 to 22 Sep 2022)
• Erwan Revel

  IRN EXR20039

  • [FCA CF] Material risk taker (since 14 Jan 2025)
  • [FCA CF] Client dealing (since 25 Oct 2024)
• Eun Sung Cho

  IRN ESC01013

  • CF2 Non Executive Director (1 Dec 2001 to 31 May 2006)
• HYUNG YONG LEE

  IRN HYL01007

  • [FCA CF] Client dealing (23 Feb 2021 to 31 Oct 2024)
  • CF30 Customer (12 Mar 2015 to 8 Dec 2019)
• Hong Bin Ra

  IRN HBR00008

  • CF30 Customer (23 Nov 2007 to 15 May 2009)
• Hong Wook Kim

  IRN HWK01003

  • CF2 Non Executive Director (2 Nov 2012 to 16 Jan 2017)
  • CF10 Compliance Oversight (14 Sep 2009 to 1 Dec 2011)
  • CF28 Systems and controls (1 Nov 2007 to 1 Dec 2011)
  • CF1 Director (25 May 2007 to 1 Dec 2011)
  • CF14 Risk Assessment (25 May 2007 to 31 Oct 2007)
  • CF3 Chief Executive (25 May 2007 to 1 Dec 2011)
  • CF8 Apportionment and Oversight (25 May 2007 to 31 Oct 2007)
• Hyeon Goo Kim

  IRN HXK00215

  • SMF1 Chief Executive (9 Aug 2023 to 9 Aug 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Aug 2023 to 31 Jan 2024)
• Hyuk Joo Jee

  IRN HJJ00006

  • CF30 Customer (1 Nov 2007 to 11 Jun 2009)
  • CF26 Customer Trading (10 Sep 2002 to 31 Oct 2007)
  • CF21 Investment Adviser (10 Sep 2002 to 31 Oct 2007)
  • CF27 Investment Management (10 Sep 2002 to 31 Oct 2007)
• JAE HYUN LEE

  IRN JHL01075

  • CF30 Customer (29 May 2018 to 6 Feb 2019)
• JI YEOUL LEE

  IRN JYL01017

  • CF11 Money Laundering Reporting (7 Feb 2019 to 1 Nov 2019)
  • CF10a CASS Oversight function (7 Feb 2019 to 1 Nov 2019)
  • CF30 Customer (23 Aug 2018 to 1 Nov 2019)

No changes recorded yet.