Ascot Lloyd Investment Management Limited

• Principal Place of Business

  Ascot Lloyd, 45 Church Street

  Birmingham

  Birmingham

  B3 2RT

  UNITED KINGDOM

  Phone

  +443454757500

  Web

  https://www.ascotlloyd.co.uk/im

• Complaints Contact

  Ascot Lloyd, 45 Church Street

  Birmingham

  Birmingham

  B3 2RT

  UNITED KINGDOM

  Phone

  +443454757500

• 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, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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.

• Alena Kosava

  IRN AXK00280

  • [FCA CF] Significant management (29 Mar 2021 to 5 May 2022)
• Amanda Jane Tovey

  IRN AJT01232

  • 14. Managing investments
  • [FCA CF] Material risk taker (since 28 Jun 2024)
  • [FCA CF] Manager of certification employee (since 28 Jun 2024)
  • [FCA CF] Functions requiring qualifications (since 28 Jun 2024)
  • [FCA CF] Client dealing (since 28 Jun 2024)
  • [FCA CF] Significant management (since 28 Jun 2024)
• Amy Thorogood

  IRN AXT00857

  • [FCA CF] Significant management (since 17 Nov 2025)
• Angela Berry

  IRN AXB00663

  • [FCA CF] Significant management (23 Mar 2021 to 18 Aug 2025)
• Ann Marie Olden

  IRN AXO00370

  • [FCA CF] Significant management (since 7 Oct 2024)
• Barbara Botha

  IRN BXB00145

  • [FCA CF] Significant management (since 23 Mar 2021)
• Barry James Kane

  IRN BXK08640

  • SMF16 Compliance Oversight (since 5 Aug 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Aug 2025)
• Christiaan Thomas Allen

  IRN CTA01017

  • SMF3 Executive Director (since 24 Apr 2026)
• Christian John Burgess

  IRN CJB01498

  • SMF3 Executive Director (4 Jul 2023 to 31 Jul 2025)
• Christopher Smith

  IRN CXS10304

  • 14. Managing investments
  • [FCA CF] Significant management (since 28 Nov 2023)
  • [FCA CF] Manager of certification employee (since 28 Nov 2023)
  • [FCA CF] Material risk taker (since 28 Nov 2023)
  • [FCA CF] Client dealing (since 5 Jul 2022)
  • [FCA CF] Functions requiring qualifications (since 5 Jul 2022)

No changes recorded yet.