Aberforth Unit Trust Managers Ltd

Date authorised
1 April 2013
Companies House
SC124771
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    14 Melville Street
    Edinburgh
    Midlothian
    EH3 7NS
    UNITED KINGDOM
    Phone
    +4401312200733
    Web
    https://www.aberforth.co.uk

  • Complaints Contact

    14 Melville Street
    Edinburgh
    Midlothian
    EH3 7NS
    UNITED KINGDOM
    Phone
    +4401312200733

What this firm is allowed to do

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

  • Retail Investment Funds

Approved individuals

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

  • Peter Robert Shaw

    IRN PRS01095

    • SMF1 Chief Executive (since 12 Feb 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (6 Apr 2017 to 8 Dec 2019)
    • CF30 Customer (1 Apr 2016 to 8 Dec 2019)
  • Richard Mark Jonathan Newbery

    IRN RMN01023

    • CF30 Customer (1 Nov 2007 to 1 May 2019)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF1 Director (1 Dec 2001 to 1 May 2019)
    • CF3 Chief Executive (1 Dec 2001 to 1 May 2019)
  • Robert Scott Moncrieff

    IRN RXS16926

    • [FCA CF] Client dealing (since 17 Aug 2022)
  • Rory John MacLean

    IRN RJM01284

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (1 May 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 May 2018 to 8 Dec 2019)
    • CF10a CASS Oversight function (1 Feb 2018 to 8 Dec 2019)
  • Samuel George Ford

    IRN SGF01035

    • SMF3 Executive Director (since 23 Feb 2021)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (5 Aug 2019 to 8 Dec 2019)
  • Scott Leslie Wallace

    IRN SLW01127

    • SMF3 Executive Director (since 1 May 2020)
    • SMF9 Chair of the Governing Body (since 1 May 2020)
  • Sun Hyoung Sonya Kim

    IRN SHK01036

    • [FCA CF] Client dealing (1 Mar 2021 to 29 Jul 2022)
  • William Alan Waite

    IRN AXW01306

    • SMF9 Chair of the Governing Body (12 Feb 2020 to 30 Apr 2020)
    • SMF1 Chief Executive (9 Dec 2019 to 30 Jan 2020)
    • SMF3 Executive Director (9 Dec 2019 to 30 Apr 2020)
    • CF1 Director (1 Jan 2009 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Jan 2009 to 31 Mar 2009)
    • CF3 Chief Executive (1 Jan 2009 to 8 Dec 2019)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
    • CF19 Significant Mgt (Financial Resources) (2 Jul 2007 to 31 Oct 2007)
    • CF14 Risk Assessment (2 Jul 2007 to 31 Oct 2007)
    • CF13 Finance (2 Jul 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.