Adam Smith Limited

Date authorised
1 April 2013
Companies House
SC116109
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Adam Smith House
    Melville Castle
    Lasswade
    Midlothian
    EH18 1AW
    UNITED KINGDOM
    Phone
    +4407791900616
    Web
    https://www.adamsmith.com

  • Complaints Contact

    Adam Smith House
    Melville Castle
    Lasswade
    Midlothian
    EH18 1AW
    UNITED KINGDOM
    Phone
    +4407791900616

What this firm is allowed to do

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

  • 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, Retail (Investment), Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "debenture", "warrant", "certificate representing certain security", "unit" , "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on a commodity future)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).

  • Investment Setup

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "debenture", "warrant", "certificate representing certain security", "unit" , "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on a commodity future)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).

Approved individuals

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

  • Derek Jack Douglas

    IRN DJD01093

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • Lynne Dorothy Falconer

    IRN LDF01005

    • CF1 Director (1 Dec 2001 to 17 Aug 2006)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 17 Aug 2006)

Recent activity

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

No changes recorded yet.