UOB Kay Hian (U.K.) Limited

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Addresses

The contact details this firm has registered with the FCA.

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

P2P Lending Advice

For Eligible Counterparty, Professional
Investment Advice (no pensions)

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" 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, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Investment Setup

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

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

Alastair Gunn-Forbes
IRN AXG01246
- CF1 Director (1 Dec 2001 to 12 Mar 2008)
- CF10 Compliance Oversight (1 Dec 2001 to 31 May 2007)
- CF11 Money Laundering Reporting (1 Dec 2001 to 31 May 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 May 2007)
- CF8 Apportionment and Oversight (1 Dec 2001 to 31 May 2007)
Alessia Anzini
IRN AXA01171
- CF30 Customer (1 Nov 2007 to 7 Mar 2017)
- CF21 Investment Adviser (8 Oct 2004 to 31 Oct 2007)
Andrew George Anastasi
IRN AGA01010
- CF21 Investment Adviser (1 Dec 2001 to 31 Aug 2003)
Carmen Chang
IRN CXC01627
- CF30 Customer (1 Nov 2007 to 29 Oct 2009)
- CF21 Investment Adviser (25 Jun 2007 to 31 Oct 2007)
Carolyn Maria Scarff
IRN CMS01078
- CF21 Investment Adviser (1 Dec 2001 to 24 Jul 2006)
Craig Hodge
IRN CXH01221
- CF30 Customer (1 Nov 2007 to 26 Dec 2007)
- CF1 Director (17 Jun 2003 to 26 Dec 2007)
- CF21 Investment Adviser (17 Jun 2003 to 31 Oct 2007)
David Anthony Osman
IRN DAO01010
- SMF3 Executive Director (9 Dec 2019 to 31 Mar 2020)
- CF1 Director (17 Feb 2009 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (25 Oct 2005 to 31 Oct 2007)
David Michael Sullivan
IRN DMS01120
- CF21 Investment Adviser (14 Aug 2003 to 24 Jul 2006)
Elizabeth Pei Yu Yang
IRN EPY01001
- CF30 Customer (6 May 2009 to 29 Oct 2009)
Fraser John Glasgow
IRN FJG01011
- CF21 Investment Adviser (1 Dec 2001 to 27 Apr 2004)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.