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.

• Minsok Park

  IRN MXP01829

  • CF30 Customer (8 Dec 2009 to 10 Sep 2010)
• Nam Hoon Cho

  IRN NHC01027

  • CF3 Chief Executive (30 Nov 2011 to 2 Oct 2012)
  • CF28 Systems and controls (30 Nov 2011 to 2 Oct 2012)
  • CF10 Compliance Oversight (30 Nov 2011 to 2 Oct 2012)
  • CF1 Director (2 Nov 2011 to 2 Oct 2012)
• Pakesh Shudar

  IRN PXS86256

  • [FCA CF] Client dealing (25 Oct 2024 to 22 Jan 2025)
• Phil Hyun Oh

  IRN PHO01013

  • CF8 Apportionment and Oversight (1 Dec 2001 to 22 Jul 2002)
  • CF3 Chief Executive (1 Dec 2001 to 22 Jul 2002)
  • CF14 Risk Assessment (1 Dec 2001 to 10 Jul 2002)
  • CF1 Director (1 Dec 2001 to 22 Jul 2002)
• Philip Charles Stuart Rowlatt

  IRN PCR01033

  • [FCA CF] Client dealing (since 10 Feb 2025)
  • [FCA CF] Material risk taker (since 10 Feb 2025)
• Pyeong Mo Gu

  IRN PMG01108

  • CF30 Customer (16 Jul 2013 to 31 Jan 2017)
• Rajkaran Singh

  IRN RXS02122

  • [FCA CF] Material risk taker (since 26 Nov 2024)
  • [FCA CF] Client dealing (since 2 Apr 2024)
• Richard Bowden Ayers

  IRN RXA01164

  • [FCA CF] Material risk taker (since 26 Nov 2024)
  • [FCA CF] Client dealing (since 29 Sep 2022)
• Sangjoon Kim

  IRN SXK00448

  • Director of firm who is not a certification employee or a SMF manager (7 Jan 2022 to 21 Mar 2023)
• Se-Woong Chang

  IRN SXC01829

  • CF11 Money Laundering Reporting (6 Feb 2014 to 3 Jan 2019)
  • CF10a CASS Oversight function (3 Feb 2014 to 3 Jan 2019)

No changes recorded yet.