Nanhua Financial (UK) Co Limited

• Principal Place of Business

  4th Floor

  60 Moorgate

  London

  EC2R 6EJ

  UNITED KINGDOM

  Phone

  +442037466446

  Web

  https://www.nanhuafinancial.co.uk

• Complaints Contact

  4th Floor

  60 Moorgate

  London

  EC2R 6EJ

  UNITED KINGDOM

  Phone

  +442037466446

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Share

• Stockbroking

  For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Share

  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, Commodity Future, Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Share

  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, Commodity Future, Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Share

  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.

• Jie Zhao

  IRN JXZ01161

  • [FCA CF] Significant management (9 Dec 2019 to 31 May 2022)
  • CF29 Significant management (10 Jun 2019 to 8 Dec 2019)
  • CF30 Customer (10 Jun 2019 to 8 Dec 2019)
• Joseph Lee Gregory

  IRN JLG01035

  • [FCA CF] Client dealing (since 12 Jan 2026)
• Joshua Stern

  IRN JXS00658

  • [FCA CF] Client dealing (23 Jan 2025 to 23 Jul 2025)
• Julian Morgan Courtney

  IRN JMC01154

  • SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Mar 2021)
  • CF10 Compliance Oversight (10 Jun 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (10 Jun 2019 to 8 Dec 2019)
  • CF10a CASS Oversight function (10 Jun 2019 to 8 Dec 2019)
• Kar Kok Ip

  IRN KXI00026

  • [FCA CF] Client dealing (6 May 2022 to 29 Jul 2022)
• Lee Freeman

  IRN LXF01119

  • [FCA CF] Significant management (24 Mar 2021 to 7 Dec 2021)
• Li Wang

  IRN LXW00458

  • Director of firm who is not a certification employee or a SMF manager (since 26 Feb 2025)
• Lingfang Li

  IRN LXL06752

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 29 May 2020)
  • CF2 Non Executive Director (10 Jun 2019 to 8 Dec 2019)
• Linqiang Jiang

  IRN LXJ21049

  • SMF3 Executive Director (since 6 Jan 2020)
• Lizhi Long

  IRN LXL00038

  • [FCA CF] Client dealing (since 16 Nov 2020)

No changes recorded yet.