Arena Investment Management Limited

• Principal Place of Business

  71 Liverpool Old Road

  Walmer Bridge

  Preston

  Lancashire

  PR4 5QE

  UNITED KINGDOM

  Phone

  +4401772610930

  Web

  https://www.ainv.co.uk

• Complaints Contact

  71 Liverpool Old Road

  Walmer Bridge

  Preston

  Lancashire

  PR4 5QE

  UNITED KINGDOM

  Phone

  +4401772610930

  Web

  https://www.ainv.co.uk

• P2P Lending Advice

  For Commercial, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For 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: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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.

• Investment Advice (no pensions)

  For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

• Authorised to Operate

  For Retail (Investment)

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Investment Setup

  For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Sarah Iqbal

  IRN SXI01333

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Jan 2025)
  • [FCA CF] Client dealing (since 9 Jan 2025)
• Stephen Jackson

  IRN SXJ00008

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2025)
  • CF30 Customer (5 Feb 2018 to 8 Dec 2019)
• Stephen James Penrose

  IRN SJP00048

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [PRA CF] Key function holder (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF21 Investment Adviser (8 Dec 2003 to 31 Oct 2007)
  • CF10 Compliance Oversight (8 Dec 2003 to 8 Dec 2019)
  • CF1 Director (8 Dec 2003 to 8 Dec 2019)
  • CF3 Chief Executive (8 Dec 2003 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (8 Dec 2003 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (8 Dec 2003 to 8 Dec 2019)

No changes recorded yet.