Alta Advisers Limited

• Principal Place of Business

  Alta Advisers Ltd

  Elsley House 24-30

  Great Titchfield Street

  London

  Westminster

  W1W 8BF

  UNITED KINGDOM

  Phone

  +442075905010

• Complaints Contact

  Alta Advisers Ltd

  Elsley House 24-30

  Great Titchfield Street

  London

  Westminster

  W1W 8BF

  UNITED KINGDOM

  Phone

  +442075905010

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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 advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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 investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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 investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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 investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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 investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Lorraine Smiley

  IRN LXS01632

  • CF2 Non Executive Director (16 Sep 2015 to 8 Dec 2019)
  • CF1 Director (5 Mar 2014 to 16 Sep 2015)
• Marian Schmidt

  IRN MXS13217

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (15 Apr 2019 to 8 Dec 2019)
• Mark Alan Geoffrey Saward

  IRN MAS01415

  • [FCA CF] Significant management (9 Dec 2019 to 30 Jun 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2024)
  • CF30 Customer (1 Nov 2008 to 8 Dec 2019)
• Matthew James Stanhope Clarke

  IRN MJC01266

  • [FCA CF] Significant management (9 Dec 2019 to 7 Mar 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 17 Feb 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Feb 2023)
  • SMF3 Executive Director (9 Dec 2019 to 7 Mar 2023)
  • CF1 Director (3 Sep 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (23 Feb 2011 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (23 Feb 2011 to 8 Dec 2019)
• Nicholas Eustace Haddon Ferguson

  IRN NEF01006

  • CF2 Non Executive Director (11 Jan 2007 to 31 Dec 2017)
• Paul Robert Manser

  IRN PRM01115

  • CF11 Money Laundering Reporting (1 Jul 2008 to 4 Jan 2011)
  • CF10 Compliance Oversight (1 Jul 2008 to 4 Jan 2011)
  • CF1 Director (2 Apr 2008 to 5 Mar 2014)
• Peter Edward Blenkharn

  IRN PEB01113

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (6 Jan 2014 to 8 Dec 2019)
• Peter Michael Stormonth Darling

  IRN PMS01101

  • CF2 Non Executive Director (1 Nov 2004 to 18 Sep 2007)
• Philip Muir Prettejohn

  IRN PMP01015

  • CF2 Non Executive Director (1 Dec 2001 to 29 Jan 2007)
• Philippa Frances Blake-Roberts

  IRN PFB01025

  • CF2 Non Executive Director (1 Dec 2001 to 27 Nov 2014)

No changes recorded yet.