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

  Show 2 limitations Hide limitations

  • · 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.

• Angela Ann Knight

  IRN AAK01007

  • Director of firm who is not a certification employee or a SMF manager (since 6 Oct 2016)
• Anita Ghanekar

  IRN AXG01372

  • CF23 Corporate Finance Adviser (15 May 2003 to 7 Jul 2004)
• Anne Healey Barnes

  IRN AHB00014

  • CF30 Customer (1 Nov 2007 to 1 May 2008)
  • CF21 Investment Adviser (27 Apr 2006 to 31 Oct 2007)
• Anthony Colin Wakelin

  IRN ACW01048

  • CF2 Non Executive Director (1 Dec 2001 to 31 Dec 2006)
• Anthony Lanning

  IRN AJL00024

  • CF30 Customer (1 Nov 2007 to 2 Nov 2007)
  • CF27 Investment Management (6 Nov 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (6 Nov 2006 to 31 Oct 2007)
• Anthony Scott Eden

  IRN AXE56788

  • [PRA CF] Significant risk taker or Material risk taker (since 22 Jan 2018)
  • [FCA CF] Material risk taker (since 22 Jan 2018)
  • [FCA CF] Manager of certification employee (22 Jan 2018 to 4 Jan 2021)
  • [PRA CF] Managing a material risk taker (22 Jan 2018 to 4 Jan 2021)
• Ashish Shailesh Mehta

  IRN AXM25632

  • [FCA CF] Material risk taker (7 Mar 2016 to 28 Feb 2019)
  • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 28 Feb 2019)
• Ashley Alexander King

  IRN AAK01008

  • [FCA CF] Proprietary trader (since 1 Oct 2023)
  • [FCA CF] Manager of certification employee (since 1 Oct 2023)
  • [PRA CF] Significant risk taker or Material risk taker (since 7 Mar 2016)
  • [FCA CF] Material risk taker (since 7 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (23 Nov 2005 to 31 Oct 2007)
  • CF27 Investment Management (23 Nov 2005 to 31 Oct 2007)
• Atholl Denis Turrell

  IRN ADT01055

  • CF1 Director (14 Oct 2008 to 31 Dec 2011)
  • CF2 Non Executive Director (29 Apr 2004 to 20 May 2008)
• Ben Martin

  IRN BCM01020

  • [FCA CF] Manager of certification employee (since 1 Jul 2019)
  • [FCA CF] Functions requiring qualifications (1 Mar 2020 to 20 Feb 2024)

No changes recorded yet.