UOB Kay Hian (U.K.) Limited

Date authorised
1 April 2013
Companies House
02670840
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Uplands
    Goldfinch Lane
    Benfleet
    Essex
    SS7 3LT
    UNITED KINGDOM
    Phone
    +442079720880
    Web
    https://www.uobkayhian.com

  • Complaints Contact

    Uplands
    Goldfinch Lane
    Benfleet
    Essex
    SS7 3LT
    UNITED KINGDOM
    Phone
    +442079720880

What this firm is allowed to do

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

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

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

  • Natalie Adams

    IRN NXA01098

    • CF30 Customer (26 Oct 2009 to 21 Jun 2010)
  • Paul An

    IRN PXA01452

    • [FCA CF] Client dealing (4 Jan 2022 to 12 Jun 2023)
  • Seng Bee Lim

    IRN SBL01011

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (25 Oct 2002 to 8 Dec 2019)
  • Simon Paul Dickson

    IRN SPD01061

    • SMF16 Compliance Oversight (since 11 Feb 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 Feb 2022)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (18 Mar 2008 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (10 Dec 2002 to 31 Oct 2007)
  • St. John De Burgh Mound

    IRN SJM01243

    • CF30 Customer (1 Oct 2012 to 22 Mar 2018)
  • Stephen Lister d'Anyers Willis

    IRN SLW01042

    • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2003)
    • CF1 Director (1 Dec 2001 to 31 Jul 2003)
  • Stephen Robert Bartlett

    IRN SRB01071

    • CF1 Director (29 Jul 2008 to 17 Apr 2009)
    • CF30 Customer (29 Jul 2008 to 2 Sep 2011)
    • CF21 Investment Adviser (19 Jan 2005 to 31 Oct 2005)
  • Vernon Poon

    IRN VXP00119

    • [FCA CF] Client dealing (since 2 Aug 2021)
  • Victoria Anne Card

    IRN VAC01019

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 12 Oct 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 12 Oct 2021)
    • CF30 Customer (1 Dec 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (16 Oct 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Oct 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (16 Oct 2007 to 31 Mar 2009)

Recent activity

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

No changes recorded yet.