Sona Asset Management (UK) LLP

• Principal Place of Business

  Second Floor, 19-21 St James's Street

  London

  SW1A 1ES

  UNITED KINGDOM

  Phone

  +442038724572

  Web

  https://www.sona-am.com

• Complaints Contact

  Second Floor, 19-21 St James's Street

  London

  SW1A 1ES

  ENGLAND

  Phone

  +4402038394668

• 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), Rolling spot forex contract, 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.

• 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, 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), Rolling spot forex contract, 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.

• Arranges Asset Safekeeping

  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), Rolling spot forex contract, 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, 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), Rolling spot forex contract, 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.

• Investment Setup

  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), Rolling spot forex contract, 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.

• Private Investment Funds

• Manages Your Portfolio

  For 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), Rolling spot forex contract, 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.

• Kevin Li

  IRN KXL00280

  • [FCA CF] Client dealing (since 2 Oct 2023)
• Krystal Kai En Yip

  IRN KXY00036

  • [FCA CF] Client dealing (since 29 Jul 2025)
• Lawrence Bo Xu

  IRN LBX01000

  • [FCA CF] Client dealing (since 14 Oct 2025)
• Lee Hope

  IRN LEH01017

  • [FCA CF] Client dealing (since 17 Jun 2024)
• Lucy Yates Smith

  IRN LXY00042

  • [FCA CF] Client dealing (since 23 Jun 2025)
• Ludovic Nicolas Roland Walter

  IRN LNW01009

  • [FCA CF] Client dealing (since 13 Sep 2024)
• Luigi Di Flumeri

  IRN LAD01033

  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Dec 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Dec 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Dec 2022)
  • SMF27 Partner (9 Dec 2019 to 30 Dec 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 30 Dec 2022)
  • CF4 Partner (3 Dec 2019 to 8 Dec 2019)
  • CF30 Customer (3 Dec 2019 to 8 Dec 2019)
• Luke Judd

  IRN LXJ00246

  • [FCA CF] Client dealing (since 7 Jul 2025)
• Madison Anderson

  IRN MXA01129

  • [FCA CF] Client dealing (since 29 Nov 2024)
• Mark Edward Dawson

  IRN MXD00300

  • [FCA CF] Manager of certification employee (since 29 Nov 2024)
  • [FCA CF] Client dealing (since 22 Feb 2021)

No changes recorded yet.