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.

• Jake Crowhurst

  IRN JXC01803

  • [FCA CF] Client dealing (since 23 Jun 2022)
• John Aubrey Kidd

  IRN JAK01150

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [PRA CF] Key function holder (9 Dec 2020 to 26 May 2021)
  • CF1 Director (8 Nov 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (27 Feb 2012 to 8 Dec 2019)
  • CF10 Compliance Oversight (27 Feb 2012 to 8 Dec 2019)
• John Cannell Walton

  IRN JCW01080

  • CF8 Apportionment and Oversight (7 Jan 2004 to 3 Mar 2004)
  • CF3 Chief Executive (1 Dec 2001 to 3 Mar 2004)
  • CF27 Investment Management (1 Dec 2001 to 21 Jun 2007)
  • CF1 Director (1 Dec 2001 to 21 Jun 2007)
• John Ernest Van Hanswijk Pennink

  IRN JEP01057

  • CF30 Customer (1 Nov 2007 to 24 Jan 2019)
  • CF8 Apportionment and Oversight (3 Mar 2004 to 31 Oct 2007)
  • CF3 Chief Executive (3 Mar 2004 to 1 Oct 2016)
  • CF1 Director (1 Dec 2001 to 24 Jan 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Joseph Bauernfreund

  IRN JXB01989

  • [FCA CF] Manager of certification employee (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Significant management (since 9 Dec 2020)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [PRA CF] Key function holder (9 Dec 2020 to 26 May 2021)
  • [PRA CF] Significant risk taker or Material risk taker (9 Dec 2020 to 26 May 2021)
  • CF3 Chief Executive (1 Oct 2016 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (15 Jul 2004 to 8 Dec 2019)
  • CF27 Investment Management (3 Feb 2004 to 31 Oct 2007)
• Joseph Scott Strachan

  IRN JSS01101

  • CF15 Internal Audit (18 Oct 2002 to 7 Oct 2003)
• Justin John McKie

  IRN JJM01271

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2020 to 1 Sep 2023)
  • CF2 Non Executive Director (AR) (25 Sep 2019 to 1 Jun 2020)
• Kazunari Sakai

  IRN KXS00382

  • [FCA CF] Client dealing (since 7 Feb 2022)
• Kevin StewartSmith

  IRN KXS01230

  • CF15 Internal Audit (1 Dec 2001 to 4 Oct 2002)
• Kimmberly Lau

  IRN KXL01101

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [PRA CF] Key function holder (9 Dec 2020 to 26 May 2021)
  • CF30 Customer (26 Aug 2011 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (11 Apr 2011 to 27 Feb 2012)
  • CF10 Compliance Oversight (11 Apr 2011 to 27 Feb 2012)
  • CF1 Director (15 Jul 2004 to 8 Dec 2019)

No changes recorded yet.