The Toronto-Dominion Bank

• Principal Place of Business

  60 Threadneedle Street

  London

  EC2R 8AP

  UNITED KINGDOM

  Phone

  +4402079200272

  Web

  https://www.tdsecurities.com

• Complaints Contact

  60 Threadneedle Street

  London

  EC2R 8AP

  UNITED KINGDOM

  Phone

  +4402034101188

• Bank Deposits

  For Eligible Counterparty, Professional, Deposit

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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, Spread Bet, 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, Spread Bet, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Spread Bet, 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.

• Trades With You Directly

  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, Spread Bet, 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, Spread Bet, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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.

• Holds Your Assets

  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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Hitomi Suzuoki

  IRN HXS01643

  • CF30 Customer (11 Feb 2013 to 26 Jan 2015)
• Howard Michael Baker

  IRN HMB01024

  • CF21 Investment Adviser (2 Jan 2002 to 5 Jan 2005)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 5 Jan 2005)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 5 Jan 2005)
• Hugh Glynn Whittle

  IRN HGW01006

  • CF16 Significant Mgt (Desgntd Investment Business) (2 Jan 2002 to 11 Jun 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 11 Jun 2003)
• Hugo Ohta

  IRN HWO01004

  • [FCA CF] Client dealing (7 Mar 2016 to 5 Apr 2021)
  • CF30 Customer (5 Jan 2016 to 6 Mar 2016)
• Hui Lynn Koh

  IRN HXK00136

  • [FCA CF] Client dealing (29 Nov 2021 to 30 May 2024)
• IZIDOR FLAJSMAN

  IRN IXF01201

  • [FCA CF] Client dealing (since 3 Dec 2018)
• Iain Colquhoun

  IRN IXC01164

  • [PRA CF] Significant risk taker or Material risk taker (since 1 Nov 2025)
  • [PRA CF] Managing a material risk taker (since 1 Nov 2025)
  • [FCA CF] Material risk taker (since 1 Mar 2019)
  • [FCA CF] Client dealing (since 1 Mar 2019)
  • [FCA CF] Manager of certification employee (since 1 Mar 2019)
  • [PRA CF] Managing a material risk taker (1 Mar 2019 to 19 Jul 2023)
• Ian Hamilton Flindt

  IRN IHF01003

  • CF10 Compliance Oversight (18 Apr 2012 to 22 Feb 2013)
• Iavor Dimitrov Balabanov

  IRN IDB01058

  • [FCA CF] Client dealing (7 Mar 2016 to 7 May 2024)
  • [FCA CF] Material risk taker (7 Mar 2016 to 7 May 2024)
  • CF30 Customer (16 Oct 2015 to 6 Mar 2016)
• Ievgenii Grebennikov

  IRN IXG00166

  • [FCA CF] Client dealing (since 24 Jun 2025)

No changes recorded yet.