Asset Value Investors Limited

• Principal Place of Business

  Asset Value Investors

  2 Cavendish Square

  London

  Westminster

  W1G 0PU

  UNITED KINGDOM

  Phone

  +4402076594800

  Web

  https://www.assetvalueinvestors.com

• Complaints Contact

  Asset Value Investors

  2 Cavendish Square

  London

  Westminster

  W1G 0PU

  UNITED KINGDOM

  Phone

  +4402076594800

• Investment Advice (no pensions)

  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, Spread Bet, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to Investment Trust Savings Scheme marketing activities and in carrying on such activities to the specified investments "share" and right to or interest in investments - security”, (when the latter is associated with these specified investments).
  • · Limited to recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• 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, 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, Spread Bet, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · Limited to Investment Trust Savings Scheme marketing activities and in carrying on such activities to the specified investments "share" and right to or interest in investments - security”, (when the latter is associated with these specified investments).
  • · Limited to recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Arranges Asset Safekeeping

  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, Spread Bet, Unit, Warrant

• 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, Spread Bet, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  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, Spread Bet, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to Investment Trust Savings Scheme marketing activities and in carrying on such activities to the specified investments "share" and right to or interest in investments - security”, (when the latter is associated with these specified investments).
  • · Limited to recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to investment management activities for the specified customer types.

• Retail Investment Funds

• Private Investment Funds

• Manages Your Portfolio

  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, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• David Frederick Swensen

  IRN DFS01030

  • CF2 Non Executive Director (10 Dec 2002 to 1 May 2012)
• David Jeremy Michael Burchill

  IRN DJB01211

  • CF10 Compliance Oversight (1 Dec 2001 to 7 Oct 2003)
• David John Miller

  IRN DJM01335

  • CF28 Systems and controls (1 Nov 2007 to 19 Jan 2010)
  • CF1 Director (5 Nov 2003 to 7 Apr 2011)
  • CF10 Compliance Oversight (5 Nov 2003 to 7 Apr 2011)
  • CF11 Money Laundering Reporting (5 Nov 2003 to 7 Apr 2011)
  • CF13 Finance (5 Nov 2003 to 31 Oct 2007)
• Duncan William Allan Budge

  IRN DWB01084

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2020)
  • CF2 Non Executive Director (23 Jun 2015 to 8 Dec 2019)
• Esme Morter

  IRN EXM00355

  • [FCA CF] Client dealing (16 May 2023 to 13 Dec 2024)
• Francesca Nicola Eady

  IRN FNE01001

  • CF30 Customer (1 Nov 2007 to 10 Jun 2014)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Gary Marnoch

  IRN GXM01324

  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Jan 2002)
• Helen Mattia

  IRN HXM00435

  • [FCA CF] Client dealing (since 8 Jul 2024)
• Henri Chermont

  IRN HXC01071

  • CF2 Non Executive Director (16 Jul 2015 to 31 Jul 2016)
• Henry Ballmann

  IRN HXB01196

  • [FCA CF] Client dealing (7 Jun 2023 to 31 Jan 2025)

No changes recorded yet.