ALDER INVESTMENT MANAGEMENT LIMITED

• Principal Place of Business

  1 Carey Lane

  London

  EC2V 8AE

  UNITED KINGDOM

  Phone

  +442076016200

  Web

  https://www.alder-investment.co.uk

• Complaints Contact

  1 Carey Lane

  London

  EC2V 8AE

  UNITED KINGDOM

  Phone

  +442076016200

• Investment Advice (no pensions)

  For Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

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

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to dealing-only activities.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

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

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to transaction-only activities.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

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

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Dean Barnard

  IRN DXB01065

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Client dealing (since 20 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 20 Sep 2024)
• Edmund Hoyle Vestey

  IRN EHV01002

  • CF2 Non Executive Director (1 Dec 2001 to 23 Nov 2007)
• Edmund Ralph Verney

  IRN ERV01006

  • CF2 Non Executive Director (6 May 2010 to 8 Dec 2019)
• Geoffrey Brian Thomas Wells

  IRN GBW01015

  • CF10 Compliance Oversight (1 Dec 2001 to 11 Nov 2003)
  • CF1 Director (1 Dec 2001 to 30 Apr 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2004)
  • CF27 Investment Management (1 Dec 2001 to 30 Apr 2004)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 11 Nov 2003)
• George Moubray William Vestey

  IRN GMV01011

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (9 Feb 2006 to 8 Dec 2019)
• Gordon Henry Scrase

  IRN GXS01349

  • CF2 Non Executive Director (1 Dec 2001 to 31 Dec 2006)
• Harvey Ross Courtier

  IRN HRC01008

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2024)
  • CF30 Customer (23 Jan 2017 to 8 Dec 2019)
• Ian Leslie Moffat

  IRN ILM01004

  • CF10 Compliance Oversight (18 Dec 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (18 Dec 2006 to 31 Oct 2007)
• Ian Murray McCulloch

  IRN IMM01042

  • CF1 Director (1 Dec 2001 to 31 Dec 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2006)
  • CF27 Investment Management (1 Dec 2001 to 31 Dec 2006)
  • CF3 Chief Executive (1 Dec 2001 to 31 Dec 2006)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Dec 2006)
• James David Wyatt Bradford

  IRN JXB00801

  • SMF3 Executive Director (since 15 Oct 2021)

No changes recorded yet.