Optiva Securities Limited

• Principal Place of Business

  Bakers Hall

  7 Harp Lane

  London

  EC3R 6DP

  UNITED KINGDOM

  Phone

  +442039814173

  Web

  https://www.optivasecurities.com

• Complaints Contact

  Bakers Hall

  7 Harp Lane

  London

  EC3R 6DP

  UNITED KINGDOM

  Phone

  +442039814173

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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

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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, Retail (Investment), Certificates representing certain security, 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

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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, Retail (Investment), Certificates representing certain security, 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, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Share, Warrant

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  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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

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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 Professional, Retail (Investment), Certificates representing certain security, 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

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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.

• Adrian Paul Selby

  IRN APS01181

  • CF30 Customer (11 Sep 2009 to 17 Dec 2010)
• Amber Higgs

  IRN AXP00410

  • [FCA CF] Client dealing (9 Dec 2020 to 4 Mar 2022)
• Barnaby Gray

  IRN BXG01079

  • CF30 Customer (18 Aug 2015 to 8 Dec 2019)
• Christian Gabriel St John Dennis

  IRN CXS01206

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Material risk taker (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (9 Dec 2019 to 1 Apr 2026)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (9 Oct 2007 to 31 Oct 2007)
  • CF3 Chief Executive (9 Oct 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (9 Oct 2007 to 31 Oct 2007)
  • CF1 Director (9 Oct 2007 to 8 Dec 2019)
• Christopher Nicholas Kennedy

  IRN CXK01129

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
• Clifford John Garcka

  IRN CJG01078

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 20 Oct 2023)
  • [FCA CF] Client dealing (9 Dec 2020 to 20 Oct 2023)
  • CF30 Customer (15 Oct 2018 to 8 Dec 2019)
• Damian Gerard Fernandez

  IRN DGF01041

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 17 Apr 2025)
  • SMF16 Compliance Oversight (since 24 Jul 2024)
• Daniel Ingram

  IRN DXI00035

  • [FCA CF] Client dealing (9 Dec 2020 to 15 Aug 2024)
• David Karl Paxton

  IRN DKP01016

  • CF21 Investment Adviser (4 Dec 2003 to 1 Sep 2005)
• Edward Ian MacLaren

  IRN EIM01002

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 3 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 3 Jan 2023)

No changes recorded yet.