Novate Global Markets Limited

Date authorised
1 April 2013
Companies House
01934008
Last scraped
17 hours ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    24 Lombard Street
    -
    London
    EC3V 9AJ
    UNITED KINGDOM
    Phone
    +442045422778
    Web
    https://www.novategm.com

  • Complaints Contact

    24 Lombard Street
    London
    EC3V 9AJ
    UNITED KINGDOM
    Phone
    +442045422778

What this firm is allowed to do

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

  • Investment Advice (no pensions)

    For Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments), Alternative Debenture

    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.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Professional, Eligible Counterparty, Share, Debenture, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments), Alternative Debenture

    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 Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments), Alternative Debenture, Unit

    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 Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments), Alternative Debenture, Unit

    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 Professional, Eligible Counterparty, Share, Debenture, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments), Alternative Debenture

    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.

  • Shintaro Suzuki

    IRN SXS04853

    • (603)[FCA CF] Client dealing (26 Aug 2020 to 13 Mar 2023)
    • (602)CF30 Customer (24 May 2017 to 8 Dec 2019)
  • Shinya Matsuzaki

    IRN SXM03069

    • (231)CF1 Director (3 Jun 2013 to 6 Oct 2015)
  • Shuhei Ochiai

    IRN SXO01497

    • (443)[FCA CF] Client dealing (26 Aug 2020 to 8 Apr 2021)
    • (442)CF30 Customer (23 Jan 2018 to 8 Dec 2019)
  • Shuji Umabayashi

    IRN SXU01025

    • (294)CF1 Director (6 Jun 2011 to 15 May 2013)
    • (293)CF21 Investment Adviser (1 Dec 2001 to 29 Mar 2004)
  • Simon Dae-Oun Kim

    IRN SDK01031

    • (161)CF30 Customer (1 Nov 2007 to 19 Dec 2007)
    • (162)CF21 Investment Adviser (5 Jul 2004 to 31 Oct 2007)
  • Simon Ed Joseph

    IRN SEJ01030

    • (208)CF30 Customer (1 Nov 2007 to 30 Apr 2008)
    • (209)CF21 Investment Adviser (9 Oct 2007 to 31 Oct 2007)
  • Simon Luther Mead

    IRN SLM01045

    • (300)CF21 Investment Adviser (1 Dec 2001 to 13 May 2003)
  • Simon Quinn

    IRN SXQ01009

    • (301)CF21 Investment Adviser (1 Dec 2001 to 11 Dec 2001)
  • Simon Victor Spence

    IRN SVS01016

    • (159)CF30 Customer (1 Nov 2007 to 11 Mar 2008)
    • (160)CF21 Investment Adviser (2 Jun 2006 to 23 Nov 2006)
  • Sonny Jeffrey Andrews

    IRN SJA01237

    • (611)[FCA CF] Client dealing (26 Aug 2020 to 25 Jan 2024)
    • (610)CF30 Customer (8 Apr 2019 to 8 Dec 2019)
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Recent activity

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

  1. trading name added: Mitsubishi UFJ Trust International Limited

  2. trading name added: Mitsubishi Trust International Limited

  3. controlled function added: (7)SMF1 Chief Executive

  4. controlled function added: (6)SMF3 Executive Director

  5. controlled function added: (5)Director of firm who is not a certification employee or a SMF manager

  6. controlled function added: (4)SMF9 Chair of the Governing Body

  7. controlled function added: (3)Director of firm who is not a certification employee or a SMF manager

  8. controlled function added: (2)[FCA CF] Significant management

  9. controlled function added: (1)[FCA CF] Material risk taker

  10. controlled function added: (642)CF1 Director

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