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.

• Edward Peter McDermott

  IRN EPM01038

  • CF30 Customer (23 Oct 2017 to 4 Jan 2019)
• Fraser Ian Moyes

  IRN FIM01004

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 31 Jan 2024)
  • [FCA CF] Client dealing (9 Dec 2020 to 31 Jan 2024)
  • CF30 Customer (15 Oct 2018 to 8 Dec 2019)
• Graeme Spencer Taylor Dickson

  IRN GSD00013

  • [FCA CF] Material risk taker (4 Jan 2022 to 28 Jun 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2020 to 28 Jun 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 28 Jun 2022)
  • [FCA CF] Client dealing (9 Dec 2020 to 28 Jun 2022)
  • CF30 Customer (25 May 2010 to 6 Nov 2018)
• HAROLD ALAN JOHN NORWOOD

  IRN HAN01013

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 17 Jan 2024)
  • [FCA CF] Client dealing (9 Dec 2020 to 17 Jan 2024)
  • CF30 Customer (1 Mar 2013 to 8 Dec 2019)
• Ian Paul Dunton

  IRN IPD01013

  • 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 8 Aug 2025)
  • [FCA CF] Client dealing (since 21 Sep 2022)
• JAMES HART

  IRN JXH02366

  • CF30 Customer (2 Aug 2011 to 5 Sep 2013)
• James Alexander Holloway

  IRN JAH01397

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 21 Sep 2022)
  • [FCA CF] Functions requiring qualifications (since 21 Sep 2022)
• James Jackson

  IRN JXJ00133

  • SMF3 Executive Director (30 Jan 2023 to 11 Dec 2023)
  • SMF16 Compliance Oversight (26 Jul 2022 to 11 Dec 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (26 Jul 2022 to 11 Dec 2023)
  • [FCA CF] Manager of certification employee (1 Jan 2021 to 17 Jan 2024)
  • [FCA CF] Client dealing (9 Dec 2020 to 17 Jan 2024)
• James Lawson Baker

  IRN JXL02276

  • CF30 Customer (7 Feb 2018 to 4 Jan 2019)
• James Paul Starr Elston

  IRN JPE01035

  • CF30 Customer (30 Aug 2008 to 14 Dec 2009)

No changes recorded yet.