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
Show 1 limitation Hide limitations
- · 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.

Fu-Lin Tsai
IRN FXT01076
- CF30 Customer (7 Mar 2011 to 4 Nov 2019)
Henry John Labron Snell
IRN HJS01035
- CF30 Customer (4 Feb 2011 to 19 Dec 2011)
Henry Ying Chew Cheong
IRN HYC01002
- CF21 Investment Adviser (1 Dec 2001 to 27 Apr 2004)
- CF1 Director (1 Dec 2001 to 27 Apr 2004)
Jamie Robert Whipp
IRN JRW00131
- [FCA CF] Client dealing (since 16 Dec 2019)
Keith Andrew Stirling
IRN KAS01070
- CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2002)
Kokichi Komagata
IRN KXK01053
- CF2 Non Executive Director (1 Dec 2001 to 1 Oct 2002)
Lawrence William Alfred Vanlint
IRN LWV01001
- CF2 Non Executive Director (1 Dec 2001 to 15 Oct 2002)
Liong Gee, Esmond Choo
IRN LGC01010
- SMF3 Executive Director (9 Dec 2019 to 31 Mar 2021)
- CF1 Director (1 Oct 2002 to 8 Dec 2019)
Mark Derek Richard Cross
IRN MDC01074
- CF30 Customer (1 Nov 2007 to 2 Sep 2015)
- CF21 Investment Adviser (12 Sep 2006 to 31 Oct 2007)
Michael Charles Franklin
IRN MCF01028
- CF30 Customer (1 Oct 2008 to 17 Apr 2009)

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.