ARBUTHNOT LATHAM & CO., LIMITED

• Principal Place of Business

  Arbuthnot House

  20 Finsbury Circus

  London

  EC2M 7EA

  UNITED KINGDOM

  Phone

  +442070122500

  Web

  https://www.arbuthnotlatham.co.uk

• Complaints Contact

  Arbuthnot House

  20 Finsbury Circus

  London

  EC2M 7EA

  UNITED KINGDOM

  Phone

  +442070122500

• Bank Deposits

  For All, Deposit

• Buy-to-Let Mortgage Admin

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Lending

• Mortgage Servicing

  For Customer, Regulated mortgage contract

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · 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.

• Land Loan Advice

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, 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, Life Policy, Non-investment insurance contracts, 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, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, 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, Life Policy, Non-investment insurance contracts, 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, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, 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, Spread Bet, 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.

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Life Policy, Non-investment insurance contracts, 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, Spread Bet, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Life Policy, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · The investment type "debenture" is limited to the customer type "professional client".
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Debt Advice

• Mortgage Lending

  For Customer, Regulated mortgage contract

• Consumer Loans

• Loan Servicing

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, 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, Life Policy, Non-investment insurance contracts, 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, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Life Policy, 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, Spread Bet, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, 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, Spread Bet, 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.

• Stephen Craig Dockree

  IRN SCD01057

  • CF21 Investment Adviser (23 Nov 2005 to 22 Dec 2006)
• Stephen John Fletcher

  IRN SJF01162

  • [FCA CF] Material risk taker (since 1 Apr 2026)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Apr 2026)
  • SMF18 Other Overall Responsibility (8 Dec 2021 to 31 Dec 2025)
  • Responsible for Insurance Distribution (1 Oct 2018 to 1 Oct 2021)
  • SMF3 Executive Director (24 Aug 2018 to 8 Dec 2021)
  • Responsible for Insurance Mediation (24 Aug 2018 to 30 Sep 2018)
  • Responsibility for MCD Intermediation (24 Aug 2018 to 1 Oct 2021)
• Stephen John Lockley

  IRN SJL01155

  • CF8 Apportionment and Oversight (1 Dec 2001 to 8 May 2003)
  • CF3 Chief Executive (1 Dec 2001 to 8 May 2003)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 15 Jul 2004)
  • CF1 Director (1 Dec 2001 to 1 Oct 2006)
• Stephen Peter Kelly

  IRN SPK01066

  • SMF4 Chief Risk (since 22 May 2019)
  • SMF3 Executive Director (since 7 Mar 2016)
  • SMF16 Compliance Oversight (2 Oct 2025 to 5 Jan 2026)
  • SMF2 Chief Finance (7 Mar 2016 to 22 May 2019)
  • CF10a CASS Oversight function (1 Oct 2011 to 6 Mar 2016)
  • CF1 Director (1 Sep 2009 to 6 Mar 2016)
  • CF28 Systems and controls (1 Sep 2009 to 6 Mar 2016)
• Steven Graham Cantlin

  IRN SXC25622

  • [PRA CF] Significant risk taker or Material risk taker (since 25 Jul 2019)
  • [FCA CF] Material risk taker (since 25 Jul 2019)
• Steven James Pennington

  IRN SJP01282

  • [FCA CF] Manager of certification employee (12 Jul 2018 to 10 Nov 2021)
  • [FCA CF] Functions requiring qualifications (8 Feb 2018 to 10 Nov 2021)
• Steven Mark Hicks

  IRN SMH01151

  • Responsible for Insurance Mediation (3 Oct 2007 to 10 Dec 2010)
  • CF1 Director (21 Jun 2007 to 10 Dec 2010)
• Stuart Howard Aberdeen

  IRN SHA00002

  • CF21 Investment Adviser (23 Nov 2005 to 5 May 2006)
• Susan Caroline Shiers

  IRN SCS01043

  • CF10 Compliance Oversight (1 Dec 2001 to 26 Aug 2005)
• Susan Clare Rodrigues

  IRN SCR01095

  • [FCA CF] Manager of certification employee (since 5 Jan 2026)

No changes recorded yet.