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.

• JONATHAN DANIEL GARVEY

  IRN JXG11361

  • CF30 Customer (13 Feb 2019 to 8 Dec 2019)
• JOOWON YANG

  IRN JXY01159

  • CF30 Customer (9 Feb 2018 to 27 Jun 2018)
• Jae Yeun Kang

  IRN JYK01002

  • CF30 Customer (1 Nov 2007 to 30 Mar 2012)
  • CF21 Investment Adviser (6 Jun 2007 to 31 Oct 2007)
  • CF26 Customer Trading (6 Jun 2007 to 31 Oct 2007)
• James Seung-Uk Yoon

  IRN SUY01002

  • CF30 Customer (1 Nov 2007 to 11 Jun 2009)
  • CF21 Investment Adviser (17 Sep 2002 to 31 Oct 2007)
  • CF27 Investment Management (17 Sep 2002 to 31 Oct 2007)
• Ji Eun Lee

  IRN JXL26530

  • SMF17 Money Laundering Reporting Officer (MLRO) (10 Mar 2020 to 10 Mar 2020)
• Jiyong Lee

  IRN JXL01795

  • [FCA CF] Client dealing (23 Feb 2021 to 4 Feb 2022)
  • CF30 Customer (17 Sep 2015 to 8 Dec 2019)
• Joachim Tigler

  IRN JXT01370

  • [FCA CF] Significant management (4 Sep 2023 to 9 Feb 2024)
  • [FCA CF] Material risk taker (4 Sep 2023 to 9 Feb 2024)
  • [FCA CF] Proprietary trader (4 Sep 2023 to 9 Feb 2024)
• Jobey Paul Meacham

  IRN JPM01395

  • [FCA CF] Client dealing (23 Feb 2021 to 20 Aug 2021)
  • CF30 Customer (7 Feb 2019 to 8 Dec 2019)
• John Francis Lobley

  IRN JFL01053

  • CF10a CASS Oversight function (1 Oct 2011 to 6 Feb 2014)
  • CF11 Money Laundering Reporting (9 Jun 2009 to 6 Feb 2014)
• Jong Ha Sung

  IRN JHS01123

  • CF2 Non Executive Director (11 Apr 2012 to 3 Sep 2012)

No changes recorded yet.