MIRAE ASSET SECURITIES (UK) LTD.

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FRN: 149240
Date authorised: 1 April 2013
Companies House: 02607959
Last scraped: 3 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

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
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.
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
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.
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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Sean Sok Han Kang
IRN SSK01006
- CF30 Customer (1 Nov 2007 to 31 Dec 2011)
- CF21 Investment Adviser (10 Apr 2007 to 31 Oct 2007)
- CF26 Customer Trading (10 Apr 2007 to 31 Oct 2007)
Seong Pil Mun
IRN SPM01111
- CF27 Investment Management (1 Dec 2001 to 24 May 2002)
- CF26 Customer Trading (1 Dec 2001 to 24 May 2002)
- CF21 Investment Adviser (1 Dec 2001 to 24 May 2002)
- CF13 Finance (1 Dec 2001 to 24 May 2002)
- CF10 Compliance Oversight (1 Dec 2001 to 24 May 2002)
Seung Kim
IRN SWK01012
- Director of firm who is not a certification employee or a SMF manager (since 19 Mar 2025)
- [FCA CF] Material risk taker (23 Mar 2023 to 19 Mar 2025)
- SMF9 Chair of the Governing Body (21 Jan 2021 to 26 Dec 2024)
- SMF1 Chief Executive (9 Dec 2019 to 26 Dec 2024)
- SMF3 Executive Director (9 Dec 2019 to 26 Dec 2024)
- SMF16 Compliance Oversight (9 Dec 2019 to 26 Dec 2024)
- CF28 Systems and controls (26 May 2017 to 8 Dec 2019)
- CF1 Director (26 May 2017 to 8 Dec 2019)
- CF10 Compliance Oversight (26 May 2017 to 8 Dec 2019)
- CF3 Chief Executive (2 Oct 2012 to 24 Jan 2014)
- CF30 Customer (3 Nov 2009 to 24 Jan 2014)
Seungmook Wang
IRN SXW01939
- CF30 Customer (27 Nov 2013 to 27 Jun 2018)
SinGi Kang
IRN SXK01991
- CF30 Customer (13 Mar 2015 to 6 Feb 2019)
Soo Ae Im
IRN SAI01024
- [FCA CF] Material risk taker (23 Mar 2023 to 21 Apr 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (12 Jan 2021 to 21 Apr 2023)
Stuart Kirk Crawford
IRN SKC01010
- CF30 Customer (4 Jan 2013 to 20 Dec 2013)
Sukwoo Lee
IRN SXL00433
- [FCA CF] Material risk taker (since 14 Jan 2025)
- [FCA CF] Client dealing (since 4 Apr 2022)
TAMAS HORVATH
IRN TXH07426
- CF30 Customer (22 Oct 2018 to 6 Feb 2019)
Tae Joong Lim
IRN TJL01099
- CF3 Chief Executive (21 Jan 2014 to 12 May 2017)
- CF10 Compliance Oversight (21 Jan 2014 to 12 May 2017)
- CF28 Systems and controls (21 Jan 2014 to 12 May 2017)
- CF1 Director (11 Mar 2013 to 12 May 2017)
- CF2 Non Executive Director (2 Dec 2010 to 27 Apr 2012)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.