RKX FINANCIAL UK LIMITED

Date authorised
17 June 2019
Companies House
10684079
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Birchin Court
    Birchin Lane
    London
    EC3V 9DU
    UNITED KINGDOM
    Phone
    +4402071128722
    Web
    http://www.rkxfinancial.co.uk

  • Complaints Contact

    Birchin Court
    20 Birchin Lane
    London
    EC3V 9DU
    UNITED KINGDOM
    Phone
    +4402071128722

What this firm is allowed to do

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

  • Authorised to Operate

    Show 1 limitation
    • · 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

  • Stockbroking

    For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

  • Trades With You Directly

    For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · 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, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Chuang Yi

    IRN CXY00014

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2022)
  • Ian Barry Howard

    IRN IBH01005

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (17 Jun 2019 to 8 Dec 2019)
    • CF1 Director (17 Jun 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (17 Jun 2019 to 8 Dec 2019)
  • John Richard Seaman

    IRN JRS01119

    • Director of firm who is not a certification employee or a SMF manager (since 5 Feb 2021)
  • Junjie Chen

    IRN JXC01529

    • Director of firm who is not a certification employee or a SMF manager (since 12 Jun 2024)
  • Kristian Chun He

    IRN KXH00450

    • [FCA CF] Client dealing (since 29 Feb 2024)
  • Nadine Howard

    IRN NXH01489

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF1 Director (17 Jun 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (17 Jun 2019 to 8 Dec 2019)
    • CF3 Chief Executive (17 Jun 2019 to 8 Dec 2019)
    • CF30 Customer (17 Jun 2019 to 8 Dec 2019)

Recent activity

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

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