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.

• Michael John Dodd

  IRN MXD00334

  • [FCA CF] Significant management (3 Jan 2023 to 31 Oct 2024)
• Mona Christensen

  IRN MXC00602

  • SMF3 Executive Director (5 Nov 2024 to 18 Mar 2026)
• Nigel Geoffrey Stockton

  IRN NGS01040

  • SMF1 Chief Executive (1 Apr 2022 to 31 Aug 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 3 Jul 2020)
  • SMF3 Executive Director (9 Dec 2019 to 31 Aug 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Jul 2020)
  • CF1 Director (3 Sep 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Sep 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Sep 2015 to 8 Dec 2019)
• Paul Jason Roger Nathan

  IRN PJN01039

  • SMF9 Chair of the Governing Body (8 Jun 2022 to 14 Apr 2026)
• Rajinder Singh Hallen

  IRN RSH01044

  • CF30 Customer (9 Feb 2015 to 29 May 2015)
• Sally-Anne Davies

  IRN SXD00348

  • [FCA CF] Significant management (31 Mar 2021 to 6 Jun 2022)
• Sarah Jane Houghton

  IRN SJH01449

  • [FCA CF] Significant management (11 Mar 2021 to 17 Jul 2024)
• Shoaib Akhtar

  IRN SXA00374

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 1 Mar 2023)
• St John Nicholas Rollo Gardner

  IRN SJG01130

  • SMF3 Executive Director (since 14 Jan 2026)
• Stephen Lennon

  IRN SXL01824

  • [FCA CF] Manager of certification employee (5 Jul 2022 to 28 Nov 2023)
  • [FCA CF] Client dealing (29 Mar 2021 to 28 Nov 2023)
  • [FCA CF] Material risk taker (29 Mar 2021 to 28 Nov 2023)
  • [FCA CF] Significant management (29 Mar 2021 to 28 Nov 2023)
  • [FCA CF] Functions requiring qualifications (29 Mar 2021 to 5 Jul 2022)
  • CF30 Customer (2 Dec 2019 to 8 Dec 2019)

No changes recorded yet.