Ascencia Investment Management Limited

• Principal Place of Business

  Suite 3.06 ARRIVE@ Tomorrow Building

  Media City

  Salford Quays

  Salford

  Greater Manchester

  M50 2AB

  UNITED KINGDOM

  Phone

  +441618868000

  Web

  https://www.ascenciaim.co.uk

• Complaints Contact

  Frenkel House

  15 Carolina Way

  Salford

  Greater Manchester

  M50 2ZY

  UNITED KINGDOM

  Phone

  +441618868000

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, 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.

• Authorised to Operate

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

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Abbie Lamorna Mary Williamson

  IRN ALW01075

  • CF30 Customer (21 Aug 2012 to 27 Dec 2013)
• Adrian Stuart Maguinness

  IRN AXM01486

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 29 Aug 2024)
  • SMF16 Compliance Oversight (since 29 Aug 2024)
  • [FCA CF] Manager of certification employee (since 26 Jan 2023)
• Anna Louise James

  IRN ALJ01042

  • CF30 Customer (21 Aug 2012 to 14 Jan 2013)
• Anthony David Everett

  IRN ADE01023

  • CF2 Non Executive Director (17 Dec 2004 to 30 Sep 2009)
• Anthony Holt

  IRN AXH03115

  • 14. Managing investments
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (25 Jul 2017 to 8 Dec 2019)
• Carly Anne Bazire

  IRN CAB01275

  • CF10a CASS Oversight function (14 Mar 2014 to 23 Jul 2014)
  • CF1 Director (27 Jan 2014 to 5 Aug 2014)
  • CF10 Compliance Oversight (20 Dec 2013 to 5 Aug 2014)
  • CF11 Money Laundering Reporting (20 Dec 2013 to 5 Aug 2014)
  • CF28 Systems and controls (20 Dec 2013 to 5 Aug 2014)
  • CF30 Customer (2 Dec 2013 to 5 Aug 2014)
• Caroline Willis

  IRN CXW01664

  • CF30 Customer (17 Oct 2013 to 24 Mar 2014)
• Christopher James Derham Biggs

  IRN CJB01429

  • CF28 Systems and controls (28 Mar 2013 to 10 Apr 2013)
  • CF30 Customer (6 Mar 2013 to 10 Apr 2013)
• Christopher James Oliver

  IRN CJO01061

  • CF30 Customer (18 May 2012 to 27 Dec 2013)
• Christopher Michael Caveney

  IRN CXC00463

  • 14. Managing investments
  • [FCA CF] Client dealing (since 6 Jan 2022)
  • [FCA CF] Functions requiring qualifications (since 6 Jan 2022)

No changes recorded yet.