Aletheia Analyst Network Limited

Date authorised
19 February 2018
Companies House
FC035676
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    30 Churchill Place
    London
    E14 5EU
    UNITED KINGDOM
    Phone
    +442071947640
    Web
    https://www.aletheia-capital.com

  • Complaints Contact

    19 Des Voeux Rd C
    Unit 2407, World-Wide House
    Central & Western District
    Hong Kong
    00000
    HONG KONG
    Phone
    +85234700011

What this firm is allowed to do

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

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share

    Show 1 limitation
    • · 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.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

Approved individuals

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

  • Daren Riley

    IRN DXR01919

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 30 Mar 2021)
    • [FCA CF] Client dealing (since 30 Mar 2021)
    • CF30 Customer (7 Nov 2019 to 8 Dec 2019)
  • Dhananjay Mahurkar

    IRN DVM01014

    • [FCA CF] Client dealing (since 19 Apr 2021)
  • JAMES WALKER

    IRN JXW00899

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • Appointed representative dealing with clients for which they require qualification (since 23 May 2023)
  • Keith Leonard Woolcock

    IRN KXW01136

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • Appointed representative dealing with clients for which they require qualification (since 2 Feb 2023)
  • Richard Antony Wallace

    IRN RAW01084

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (8 Oct 2018 to 8 Dec 2019)
  • Roderick Mark Waters

    IRN RMW01177

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF19 Head of Overseas Branch/Head of Overseas (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (8 Oct 2018 to 8 Dec 2019)
    • CF3 Chief Executive (8 Oct 2018 to 8 Dec 2019)
    • CF1 Director (8 Oct 2018 to 8 Dec 2019)
  • Stephen David Clapham

    IRN SDC01070

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Nov 2021)
    • CF30 Customer (8 Oct 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (8 Oct 2018 to 8 Dec 2019)
  • Steven Charles Schlegel

    IRN SXS05284

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • Appointed representative dealing with clients for which they require qualification (since 13 May 2024)
  • TING SZE TSOI

    IRN TXT00063

    • SMF16 Compliance Oversight (since 28 Mar 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Mar 2022)
    • SMF3 Executive Director (since 26 May 2021)

Recent activity

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

No changes recorded yet.