Ashik Shah & Co Limited

Date authorised
1 April 2013
Companies House
04551353
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    c/o Work.Life, 33 Foley Street
    London
    W1W 7TL
    UNITED KINGDOM
    Phone
    +4402039876248
    Web
    https://www.ashikshah.com

  • Complaints Contact

    Work Life
    33 Foley Street
    London
    Westminster
    W1W 7TL
    UNITED KINGDOM
    Phone
    +4402039876248

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional, Retail (Investment)

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Retail (Investment), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Eligible Counterparty, Professional, Retail (Investment), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Ashik Arunkant Shah

    IRN AAS01052

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 26 Apr 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 26 Apr 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (25 Feb 2003 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (25 Feb 2003 to 31 Mar 2009)
    • CF3 Chief Executive (25 Feb 2003 to 8 Dec 2019)
    • CF21 Investment Adviser (25 Feb 2003 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (25 Feb 2003 to 8 Dec 2019)
    • CF10 Compliance Oversight (25 Feb 2003 to 8 Dec 2019)
  • Neal Nitin Kalidas Shah

    IRN NXS20322

    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (7 Nov 2019 to 8 Dec 2019)
    • CF30 Customer (7 Nov 2019 to 8 Dec 2019)
  • Raj Milan Shah

    IRN RMS01229

    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (26 Nov 2019 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2012 to 8 Dec 2019)
  • Richard Alan Bancroft

    IRN RAB01360

    • SMF16 Compliance Oversight (since 15 Mar 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Mar 2020)
    • CF30 Customer (20 Apr 2010 to 8 Dec 2019)
    • CF28 Systems and controls (4 Sep 2008 to 8 Dec 2019)
  • Vinod Pragji Gordhan Vaghadia

    IRN VXV01023

    • SMF9 Chair of the Governing Body (since 9 Dec 2019)
    • CF2 Non Executive Director (25 Feb 2003 to 8 Dec 2019)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.