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.

• David Michael

  IRN DXM02365

  • [FCA CF] Client dealing (2 Mar 2024 to 20 Nov 2024)
  • [FCA CF] Functions requiring qualifications (17 Apr 2023 to 20 Nov 2024)
• David Michael Mill

  IRN DXM56792

  • [PRA CF] Managing a material risk taker (21 Jan 2019 to 30 Jun 2019)
  • [FCA CF] Manager of certification employee (21 Jan 2019 to 30 Jun 2019)
  • [PRA CF] Significant risk taker or Material risk taker (30 Jan 2018 to 4 Jan 2021)
  • [FCA CF] Material risk taker (30 Jan 2018 to 4 Jan 2021)
• David Paul Kidd

  IRN DPK01031

  • CF30 Customer (1 Nov 2007 to 31 Dec 2008)
  • CF21 Investment Adviser (23 Nov 2005 to 31 Oct 2007)
  • CF27 Investment Management (23 Nov 2005 to 31 Oct 2007)
  • CF1 Director (6 Jun 2005 to 31 Aug 2008)
• David Richard Lascelles

  IRN DRL01059

  • CF2 Non Executive Director (27 Mar 2003 to 25 May 2007)
• David Robert Moland

  IRN DRM00025

  • SMF16 Compliance Oversight (7 Mar 2016 to 23 May 2022)
  • SMF4 Chief Risk (7 Mar 2016 to 18 Sep 2017)
  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 31 Oct 2023)
  • CF28 Systems and controls (6 Oct 2015 to 6 Mar 2016)
  • CF11 Money Laundering Reporting (11 Apr 2006 to 6 Mar 2016)
  • CF10 Compliance Oversight (25 Oct 2005 to 6 Mar 2016)
• Dean Crouch

  IRN DXC06095

  • [FCA CF] Functions requiring qualifications (5 Nov 2021 to 11 Oct 2022)
• Dean Proctor

  IRN DMP01108

  • Responsible for Insurance Mediation (23 Dec 2010 to 1 Dec 2011)
  • CF3 Chief Executive (2 Nov 2009 to 1 Mar 2012)
  • CF1 Director (3 Jul 2009 to 1 Mar 2012)
• Deborah Carol Phillpotts

  IRN DXP00040

  • CF30 Customer (1 Nov 2007 to 31 Jan 2013)
  • CF21 Investment Adviser (23 Nov 2005 to 31 Oct 2007)
• Douglas Andrew Derham

  IRN DXD25623

  • [FCA CF] Material risk taker (29 Mar 2019 to 16 Oct 2019)
  • [PRA CF] Significant risk taker or Material risk taker (29 Mar 2019 to 16 Oct 2019)
• Dru Harold Danford

  IRN DHD01013

  • CF23 Corporate Finance Adviser (16 May 2003 to 7 Jul 2004)

No changes recorded yet.