S A B SECURITIES LIMITED

• Principal Place of Business

  37 Sudbury Court Drive

  Harrow

  Middlesex

  HA1 3SZ

  UNITED KINGDOM

  Phone

  +442045706125

  Web

  https://www.sabsecurities.co.uk

• Complaints Contact

  37 Sudbury Court Drive

  Harrow

  Middlesex

  HA1 3SZ

  UNITED KINGDOM

  Phone

  +442045706125

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), 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.

• 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, 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), 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.

• Arranges Asset Safekeeping

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

• Investment Setup

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

• Manages Your Portfolio

  For Professional, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Share

• Baber Nadim Ali Khan

  IRN BNK01003

  • CF10 Compliance Oversight (7 Jan 2004 to 7 Dec 2004)
  • CF1 Director (7 Jan 2004 to 8 Feb 2005)
  • CF21 Investment Adviser (7 Jan 2004 to 8 Feb 2005)
  • CF11 Money Laundering Reporting (7 Jan 2004 to 7 Dec 2004)
• Bilquis Adam

  IRN BXA01168

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (25 Jan 2005 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (25 Jan 2005 to 31 Oct 2007)
• Mohammad Saleem Adam

  IRN MSA01057

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (7 Dec 2004 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (7 Dec 2004 to 16 Oct 2006)
  • CF10 Compliance Oversight (7 Dec 2004 to 16 Oct 2006)
  • CF3 Chief Executive (7 Jan 2004 to 31 Jul 2009)
  • CF1 Director (7 Jan 2004 to 31 Jul 2009)
  • CF8 Apportionment and Oversight (7 Jan 2004 to 31 Oct 2007)
• Muhammad Usman Adam

  IRN MUA01003

  • 16. Safeguarding and administering investments or holding client money
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 17. Administrative functions in relation to managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
  • CF3 Chief Executive (6 Oct 2009 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (12 Oct 2006 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (12 Oct 2006 to 8 Dec 2019)
  • CF21 Investment Adviser (12 Oct 2006 to 31 Oct 2007)
  • CF1 Director (24 Jan 2005 to 8 Dec 2019)
• Mustafa Aziz

  IRN MXA01466

  • CF30 Customer (9 Mar 2011 to 1 Dec 2011)
• Sanjay Beri

  IRN SXB02430

  • CF30 Customer (18 Apr 2016 to 8 Dec 2019)

No changes recorded yet.