Aurum Funds Limited

Date authorised
5 March 2015
Companies House
03007670
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · 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
    • · 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
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • David John Smith

    IRN DJS01254

    • CF21 Investment Adviser (1 Dec 2001 to 5 Aug 2003)
  • Edward Bowsher

    IRN EXB01159

    • CF21 Investment Adviser (1 Dec 2001 to 29 May 2002)
  • Emily Florence Margarete Porter-Lynch

    IRN EFP01000

    • CF21 Investment Adviser (18 Nov 2004 to 5 May 2005)
  • Fiona Elizabeth King

    IRN FEP01007

    • CF30 Customer (1 Nov 2007 to 24 Feb 2012)
    • CF21 Investment Adviser (5 Feb 2003 to 31 Oct 2007)
  • Gavin Hamish Lumsden

    IRN GHL01016

    • CF21 Investment Adviser (1 Dec 2001 to 5 Aug 2003)
  • Graeme John Davies

    IRN GJD01053

    • CF21 Investment Adviser (1 Dec 2001 to 28 Feb 2003)
  • Isabelle Claire Mather

    IRN ICM01049

    • CF30 Customer (25 Oct 2017 to 24 May 2019)
  • Jake Lewis

    IRN JXL00418

    • [FCA CF] Client dealing (since 8 Jul 2024)
  • Jane Lindsay Weingartner

    IRN JLW01070

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 Apr 2024)
    • SMF3 Executive Director (9 Dec 2019 to 27 Dec 2023)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF13 Finance (22 Nov 2006 to 31 Oct 2007)
    • CF15 Internal Audit (22 Nov 2006 to 31 Oct 2007)
    • CF1 Director (2 Oct 2002 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 20 Sep 2002)
    • CF10 Compliance Oversight (1 Dec 2001 to 1 Nov 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Jason Richard Funk

    IRN JRF01075

    • CF30 Customer (1 Nov 2007 to 20 Jan 2009)
    • CF21 Investment Adviser (27 Apr 2007 to 31 Oct 2007)
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Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.