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

  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.

• 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.

• Jun Hwan Kim

  IRN JHK01013

  • CF10 Compliance Oversight (2 Jul 2002 to 26 Aug 2005)
  • CF13 Finance (2 Jul 2002 to 26 Aug 2005)
  • CF26 Customer Trading (1 Dec 2001 to 26 Aug 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 26 Aug 2005)
  • CF27 Investment Management (1 Dec 2001 to 26 Aug 2005)
• Jung Ho Rhee

  IRN JXR00834

  • Director of firm who is not a certification employee or a SMF manager (24 Apr 2024 to 16 Jul 2025)
• KYUNG JIN MIN

  IRN KJM01222

  • CF2 Non Executive Director (27 Jan 2017 to 16 Jan 2018)
• Ki-Cheon Nam

  IRN KXN01044

  • CF3 Chief Executive (20 Oct 2004 to 25 May 2007)
  • CF14 Risk Assessment (20 Oct 2004 to 25 May 2007)
  • CF8 Apportionment and Oversight (20 Oct 2004 to 25 May 2007)
  • CF1 Director (1 Dec 2001 to 25 May 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 10 May 2005)
• Kristopher Joseph Kapinos

  IRN KJK01030

  • [FCA CF] Client dealing (23 Feb 2021 to 9 Nov 2021)
  • CF30 Customer (9 Feb 2019 to 8 Dec 2019)
• Kyoungtae Kye

  IRN KXK00331

  • Director of firm who is not a certification employee or a SMF manager (21 Mar 2023 to 24 Apr 2024)
• Kyung-Ho Paul Song

  IRN KPS01026

  • CF26 Customer Trading (12 Jan 2005 to 31 Jan 2007)
  • CF21 Investment Adviser (12 Jan 2005 to 31 Jan 2007)
• MINGU KANG

  IRN MXK02837

  • CF30 Customer (19 Jul 2017 to 2 Apr 2019)
• Man Yeol LEE

  IRN MYL01008

  • [FCA CF] Client dealing (5 Mar 2021 to 7 Jan 2022)
  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 7 Jan 2022)
  • CF2 Non Executive Director (31 Jan 2018 to 8 Dec 2019)
• Min Tae Kim

  IRN MTK01027

  • SMF1 Chief Executive (since 25 Mar 2025)
  • SMF3 Executive Director (since 25 Mar 2025)
  • SMF9 Chair of the Governing Body (since 25 Mar 2025)
  • [FCA CF] Significant management (since 20 Feb 2025)
  • [FCA CF] Material risk taker (since 23 Mar 2023)
  • [FCA CF] Client dealing (since 23 Feb 2021)
  • CF30 Customer (1 Nov 2007 to 30 Sep 2008)
  • CF21 Investment Adviser (3 May 2007 to 31 Oct 2007)
  • CF26 Customer Trading (3 May 2007 to 31 Oct 2007)

No changes recorded yet.