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

  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.

• 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, 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

  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.

• 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

  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.

• 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

  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.

• Trades With You Directly

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

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• Robert Emmet

  IRN RXE01167

  • [FCA CF] Client dealing (9 Dec 2020 to 13 Oct 2023)
  • CF30 Customer (19 Mar 2019 to 8 Dec 2019)
• Robert Ian Regan

  IRN RIR01004

  • [FCA CF] Material risk taker (4 Jan 2022 to 20 Oct 2023)
  • [FCA CF] Client dealing (9 Dec 2020 to 20 Oct 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2020 to 20 Oct 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 20 Oct 2023)
  • CF30 Customer (1 Nov 2018 to 8 Dec 2019)
• Sarbjot Sehmbi

  IRN SXS23461

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 28 Feb 2023)
  • [FCA CF] Client dealing (9 Dec 2020 to 28 Feb 2023)
• Tejas Padalkar

  IRN TXP01511

  • CF30 Customer (1 Aug 2017 to 12 Jun 2018)
• Terence Michael Farrow

  IRN TMF00007

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 24 Jan 2025)
  • [FCA CF] Client dealing (since 24 Jan 2025)
• Timothy Andrew Beckett Mills

  IRN TAM01031

  • CF30 Customer (1 Nov 2007 to 28 Dec 2007)
  • CF21 Investment Adviser (1 Mar 2004 to 31 Oct 2007)
• Vishal Balasingham

  IRN VXB01035

  • [FCA CF] Manager of certification employee (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • CF30 Customer (17 May 2010 to 8 Dec 2019)
• William Davidson Maitland

  IRN WDM01017

  • [FCA CF] Client dealing (11 Oct 2022 to 22 Jul 2024)

No changes recorded yet.