Mizuho International plc

• Principal Place of Business

  Mizuho International plc

  30 Old Bailey

  London

  EC4M 7AU

  UNITED KINGDOM

  Phone

  +4402072361090

  Web

  https://www.mizuhogroup.com/emea

• Complaints Contact

  30 Old Bailey

  London

  EC4M 7AU

  UNITED KINGDOM

  Phone

  +4402072361090

• Bank Deposits

  For Eligible Counterparty, Professional, Deposit

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  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), 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

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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.

• 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, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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 (contractually based)" is limited to investment types granted for this activity.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, 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.

• 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, Life Policy, 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

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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, Life Policy, 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

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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.

• Investment Setup

  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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Manages Your Portfolio

  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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Mark Andrew Wheatcroft

  IRN MAW01139

  • [FCA CF] Material risk taker (19 Dec 2019 to 28 Mar 2024)
  • [FCA CF] Client dealing (19 Dec 2019 to 28 Mar 2024)
  • [FCA CF] Manager of certification employee (19 Dec 2019 to 28 Mar 2024)
  • [FCA CF] Significant management (19 Dec 2019 to 28 Mar 2024)
  • SMF6 Head of Key Business Areas (29 Aug 2018 to 19 Dec 2019)
  • SMF18 Other Overall Responsibility (7 Mar 2016 to 29 Aug 2018)
  • CF29 Significant management (4 Jul 2013 to 6 Mar 2016)
  • CF30 Customer (4 Feb 2013 to 6 Mar 2016)
• Mark Anthony White

  IRN MAW01151

  • CF30 Customer (1 Nov 2007 to 30 Nov 2012)
  • CF21 Investment Adviser (17 Aug 2006 to 31 Oct 2007)
• Mark Austin Venn

  IRN MAV01025

  • CF21 Investment Adviser (1 Dec 2001 to 12 Oct 2007)
• Mark Brian Shillam

  IRN MXS01396

  • [FCA CF] Manager of certification employee (31 Oct 2018 to 5 Jun 2020)
  • [FCA CF] Material risk taker (7 Mar 2016 to 5 Jun 2020)
  • [FCA CF] Client dealing (7 Mar 2016 to 5 Jun 2020)
  • CF30 Customer (20 Aug 2013 to 6 Mar 2016)
• Mark Cooper

  IRN MXC01223

  • [FCA CF] Material risk taker (25 May 2024 to 30 Nov 2024)
• Mark Currie

  IRN MSC01082

  • [FCA CF] Client dealing (24 Sep 2018 to 22 Nov 2021)
• Mark Donald West

  IRN MDW01122

  • CF30 Customer (15 Nov 2007 to 6 Mar 2016)
• Mark Dorman

  IRN MXD00222

  • CF30 Customer (1 Nov 2007 to 30 Jan 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Mark George Fisher

  IRN MGF01016

  • CF21 Investment Adviser (10 Sep 2003 to 17 Oct 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Sep 2003 to 17 Oct 2007)
• Mark John Tutt

  IRN MJT01099

  • CF21 Investment Adviser (1 Dec 2001 to 30 Mar 2007)

No changes recorded yet.