Aurum Funds Limited

• Principal Place of Business

  80 Charlotte Street

  London

  Camden

  W1T 4DF

  UNITED KINGDOM

  Phone

  +4402075891130

  Web

  https://www.aurumfunds.com

• Complaints Contact

  80 Charlotte Street

  London

  Camden

  W1T 4DF

  UNITED KINGDOM

  Phone

  +4402075891130

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" 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, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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)" is limited to the investment types granted for this activity.

• Abigail Sarah Ruth Schofield

  IRN ASS01038

  • CF30 Customer (1 Nov 2007 to 16 Apr 2010)
  • CF21 Investment Adviser (6 Aug 2007 to 31 Oct 2007)
• Adam David Sweidan

  IRN AXS01774

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (12 Aug 2003 to 31 Oct 2007)
  • CF1 Director (2 Oct 2002 to 8 Dec 2019)
• Adam Moir

  IRN AXM04711

  • [FCA CF] Client dealing (since 15 Mar 2021)
  • CF30 Customer (26 Oct 2016 to 8 Dec 2019)
• Algernon Richmond George Craig Hall

  IRN ARC01105

  • CF21 Investment Adviser (1 Dec 2001 to 28 Feb 2003)
• Alison Rosemary Fleming

  IRN ARF01031

  • CF30 Customer (1 Nov 2007 to 27 Apr 2012)
  • CF21 Investment Adviser (12 Nov 2003 to 31 Oct 2007)
• Barrie Edwards

  IRN BXE01195

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF28 Systems and controls (29 Jun 2016 to 8 Dec 2019)
  • CF1 Director (29 Jun 2016 to 8 Dec 2019)
• Ben White

  IRN BXW00305

  • [FCA CF] Client dealing (since 19 Feb 2024)
• Damien Glenn Hill

  IRN DGH01117

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Apr 2024)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF30 Customer (30 Jun 2016 to 8 Dec 2019)
  • CF1 Director (30 Jun 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (29 Nov 2012 to 8 Dec 2019)
• David Alexander Mark

  IRN DAM01106

  • CF30 Customer (1 Nov 2007 to 20 Apr 2015)
  • CF1 Director (1 Dec 2001 to 20 Apr 2015)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• David James Leonard Thomas

  IRN DJT01139

  • CF13 Finance (7 Oct 2002 to 6 Nov 2006)
  • CF11 Money Laundering Reporting (7 Oct 2002 to 6 Nov 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 6 Nov 2006)
  • CF15 Internal Audit (1 Dec 2001 to 6 Nov 2006)

No changes recorded yet.