MIRAE ASSET SECURITIES (UK) LTD.

Date authorised
1 April 2013
Companies House
02607959
Last scraped
3 weeks ago
Watch for changes

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

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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.

  • Tin Yun Lau

    IRN TXL00108

    • SMF16 Compliance Oversight (since 8 Apr 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 May 2024)
    • [FCA CF] Material risk taker (since 4 Sep 2023)
    • [FCA CF] Significant management (since 4 Sep 2023)
  • Tze Chung Dickson Lam

    IRN TXL00188

    • [FCA CF] Client dealing (17 Aug 2022 to 29 Dec 2023)
  • Vincenzo Adriano Imondi

    IRN VAI01001

    • [FCA CF] Client dealing (29 Sep 2022 to 21 Aug 2024)
  • Woo Jin Kim

    IRN WJK01020

    • CF28 Systems and controls (1 Nov 2007 to 14 Sep 2009)
    • CF30 Customer (1 Nov 2007 to 9 Jun 2009)
    • CF13 Finance (19 Sep 2005 to 31 Oct 2007)
    • CF10 Compliance Oversight (19 Sep 2005 to 14 Sep 2009)
    • CF11 Money Laundering Reporting (18 May 2005 to 9 Jun 2009)
    • CF26 Customer Trading (13 Dec 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (13 Dec 2004 to 31 Oct 2007)
  • Yoon Bin Song

    IRN YBS01001

    • CF3 Chief Executive (22 Jul 2002 to 7 Sep 2004)
    • CF8 Apportionment and Oversight (22 Jul 2002 to 7 Sep 2004)
    • CF1 Director (9 Jul 2002 to 7 Sep 2004)
    • CF14 Risk Assessment (9 Jul 2002 to 7 Sep 2004)
  • Yoon Soo Park

    IRN YSP01001

    • CF2 Non Executive Director (18 May 2005 to 31 May 2006)
  • Yu Sung Oh

    IRN YSO01000

    • CF2 Non Executive Director (22 Jun 2006 to 28 Oct 2010)

Recent activity

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

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