Ashridge Capital Investments LLP

• Principal Place of Business

  Ashridge House Golf Club Road

  Little Gaddesden

  Berkhamsted

  Herts

  HP4 1LY

  UNITED KINGDOM

  Phone

  +447595874822

  Web

  https://www.ashridgecapital.com

• Complaints Contact

  Ashridge House Golf Club Road

  Little Gaddesden

  Berkhamsted

  Herts

  HP4 1LY

  UNITED KINGDOM

  Phone

  +447595874822

• 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, Certificates representing certain security, Debenture, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rolling spot forex contract, 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.

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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.

• Private Investment Funds

• Manages Your Portfolio

  For Professional, Certificates representing certain security, Debenture, 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.

• Claire Marjorie Louise Cummings

  IRN CMC01098

  • SMF27 Partner (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (19 Jun 2008 to 9 May 2014)
  • CF4 Partner (19 Jun 2008 to 8 Dec 2019)
  • CF10 Compliance Oversight (19 Jun 2008 to 9 May 2014)
  • CF30 Customer (19 Jun 2008 to 8 Dec 2019)
• David Mark Sherratt

  IRN DMS01110

  • [FCA CF] Client dealing (since 1 Apr 2021)
  • [FCA CF] CASS oversight function (since 1 Apr 2021)
  • [FCA CF] Significant management (since 1 Apr 2021)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF4 Partner (3 Feb 2011 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Feb 2011 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Feb 2011 to 8 Dec 2019)
  • CF30 Customer (21 Apr 2010 to 8 Dec 2019)
• Dennis Wai Nam Ng

  IRN DWN01030

  • CF4 Partner (19 Jun 2008 to 20 Mar 2009)
  • CF30 Customer (19 Jun 2008 to 20 Mar 2009)
• James Hennessy

  IRN JXH02210

  • CF30 Customer (12 Mar 2009 to 17 Sep 2009)
• Jonathan Peter Cook

  IRN JPC01204

  • CF4 Partner (19 Jun 2008 to 11 Jan 2011)
• Michael Lawson Stratford

  IRN MLS01036

  • CF4 Partner (AR) (29 Sep 2009 to 28 Feb 2011)
• Minhua Wei

  IRN MXW01889

  • CF30 Customer (22 Mar 2010 to 10 Sep 2010)
• Nadir Afzal

  IRN NXA01296

  • CF30 Customer (19 Jun 2008 to 15 Jan 2010)
  • CF4 Partner (19 Jun 2008 to 15 Jan 2010)
• Philip John Pritchard Turner

  IRN PJT01095

  • CF30 Customer (11 Jun 2009 to 31 Mar 2014)
• Rebecca Ruth Young

  IRN RRY00003

  • CF4 Partner (AR) (2 Oct 2009 to 28 Feb 2011)

• Sivon Capital LLP (no longer appointed)

  FRN 511476 · Appointed 1 Nov 2009 · Until 28 Feb 2011

• MVP Asset Management (UK) LLP (no longer appointed)

  FRN 505154 · Appointed 17 Aug 2009 · Until 28 Feb 2011

• Cygnus Capital Management LLP (no longer appointed)

  FRN 503225 · Appointed 6 Jul 2009 · Until 12 Mar 2010

• James Hennessy (no longer appointed)

  FRN 497542 · Appointed 10 Mar 2009 · Until 17 Aug 2009

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