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.

• Christopher Geoffrey Wiltshire

  IRN CXW25640

  • [FCA CF] Manager of certification employee (20 Jul 2024 to 31 Dec 2025)
  • [PRA CF] Significant risk taker or Material risk taker (12 Mar 2018 to 13 Jun 2019)
  • [FCA CF] Functions requiring qualifications (12 Mar 2018 to 31 Dec 2023)
  • [FCA CF] Material risk taker (12 Mar 2018 to 13 Jun 2019)
• Christopher James Reah

  IRN CJR01147

  • [PRA CF] Significant risk taker or Material risk taker (1 Jul 2019 to 4 Jan 2021)
  • [FCA CF] Material risk taker (1 Jul 2019 to 4 Jan 2021)
  • [PRA CF] Managing a material risk taker (22 Jan 2018 to 31 Oct 2022)
  • [FCA CF] Manager of certification employee (7 Mar 2016 to 31 Oct 2022)
  • CF30 Customer (19 Jan 2015 to 6 Mar 2016)
• Christopher John Horler

  IRN CJH01163

  • [FCA CF] Manager of certification employee (30 Jan 2018 to 20 Dec 2018)
  • [PRA CF] Significant risk taker or Material risk taker (30 Jan 2018 to 29 Mar 2019)
  • [PRA CF] Managing a material risk taker (30 Jan 2018 to 20 Dec 2018)
  • [FCA CF] Material risk taker (30 Jan 2018 to 29 Mar 2019)
• Christopher John Rome Meyer

  IRN CJM01254

  • CF2 Non Executive Director (13 Mar 2008 to 1 Jan 2016)
• Christopher Keith Arbuthnott

  IRN CKA01009

  • CF30 Customer (1 Nov 2007 to 24 Dec 2008)
  • CF21 Investment Adviser (22 May 2007 to 31 Oct 2007)
• Christopher Malcolm McGuinness

  IRN CMM01107

  • [FCA CF] Client dealing (2 Mar 2024 to 29 Jan 2026)
  • [FCA CF] Manager of certification employee (29 May 2020 to 29 Jan 2026)
  • [FCA CF] Functions requiring qualifications (25 Sep 2018 to 29 Jan 2026)
• Christopher Michael Allen

  IRN CMA01079

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 2 Mar 2024)
  • [FCA CF] Manager of certification employee (since 1 Aug 2022)
  • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
  • CF30 Customer (25 Jun 2015 to 6 Mar 2016)
• Clive Moore

  IRN CXM01208

  • CF14 Risk Assessment (1 Dec 2001 to 30 Nov 2006)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 30 Nov 2006)
  • CF1 Director (1 Dec 2001 to 30 Nov 2006)
• Colin William MacKenzie

  IRN CWM01029

  • [FCA CF] Client dealing (2 Mar 2024 to 31 Dec 2024)
  • [FCA CF] Manager of certification employee (22 Nov 2017 to 31 Dec 2024)
  • [FCA CF] Functions requiring qualifications (22 Nov 2017 to 31 Dec 2024)
• Costakis Boyiadjis

  IRN CXB01815

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 2 Mar 2024)
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2023)

No changes recorded yet.