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

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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.

• Mark Tanase

  IRN MAT01079

  • [FCA CF] Client dealing (since 8 Sep 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 22 Aug 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 22 Aug 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 22 Aug 2024)
  • CF30 Customer (7 Dec 2018 to 8 Dec 2019)
  • CF4 Partner (7 Dec 2018 to 9 Oct 2019)
• Michael Boam

  IRN MXB01404

  • [FCA CF] Client dealing (9 Dec 2019 to 16 Jun 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 16 Jun 2025)
  • [FCA CF] Material risk taker (9 Dec 2019 to 16 Jun 2025)
  • CF4 Partner (7 Dec 2018 to 9 Oct 2019)
• Narina Valimahomed

  IRN NXV01141

  • [FCA CF] Client dealing (since 28 Apr 2022)
• Nicholas Edward Lebo

  IRN NXL00223

  • SMF16 Compliance Oversight (since 10 Jul 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Jul 2025)
• Niteesh Joshi

  IRN NXJ00223

  • [FCA CF] Client dealing (since 8 Sep 2025)
• Oscar Aylward

  IRN OXA00109

  • [FCA CF] Client dealing (since 3 Apr 2023)
• Owain Benjamin Griffiths

  IRN OBG01001

  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (7 Dec 2018 to 8 Dec 2019)
  • CF4 Partner (7 Dec 2018 to 9 Oct 2019)
• Patrick Keneally

  IRN PXK00475

  • [FCA CF] Client dealing (since 14 Nov 2022)
• Penelope Benamou

  IRN PXB00816

  • [FCA CF] Client dealing (since 5 Jan 2026)
• Peran Harald James Soady

  IRN PXS00845

  • [FCA CF] Client dealing (16 Oct 2024 to 14 Mar 2025)

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