Asset Risk Consultants (UK) Limited

• Principal Place of Business

  Level 6

  10 Fetter Lane

  London

  City Of London

  EC4A 1BR

  UNITED KINGDOM

  Phone

  +442039462860

  Web

  https://www.assetrisk.com

• Complaints Contact

  Asset Risk Consultants Limited

  7 New Street

  St. Peter Port

  Guernsey

  GY1 2PF

  GUERNSEY

  Phone

  +441481817777

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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), 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.

• 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, Retail (Investment), 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), 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, Retail (Investment), 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), 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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), Share, 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.

• Jemima Victoria Potter

  IRN JXP00532

  • 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
  • [FCA CF] Functions requiring qualifications (since 17 Jun 2025)
  • [FCA CF] Functions requiring qualifications (1 Dec 2021 to 31 Dec 2024)
• Lynn Pates

  IRN LXP01445

  • CF1 Director (2 Sep 2015 to 31 Dec 2016)
• Lynne Duquemin

  IRN LXD01527

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Apr 2020)
  • CF30 Customer (1 Feb 2016 to 8 Dec 2019)
• Marcus Lee Porter

  IRN MLP01050

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2024)
• Matthew John Lonsdale

  IRN MJL01200

  • CF30 Customer (1 Jul 2016 to 30 Sep 2016)
  • CF1 Director (1 Jul 2016 to 1 Jul 2016)
• Paul Leonard Kearney

  IRN PLK01007

  • SMF9 Chair of the Governing Body (since 10 Feb 2026)
  • SMF3 Executive Director (since 25 Apr 2022)
• Paul Michael Wallbridge

  IRN PMW01157

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (2 Sep 2015 to 8 Dec 2019)
• Peter John Gilliver

  IRN PXG00288

  • [FCA CF] Functions requiring qualifications (1 May 2022 to 31 Jan 2024)
• Philip Duffin

  IRN PXD00365

  • 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
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2024)
• Philip Mudie Bodman

  IRN PMB01231

  • SMF3 Executive Director (9 Dec 2019 to 9 Dec 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 17 Oct 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 12 Dec 2022)
  • CF10 Compliance Oversight (2 Sep 2015 to 8 Dec 2019)
  • CF1 Director (2 Sep 2015 to 8 Dec 2019)

No changes recorded yet.