Aurum Funds Limited

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Addresses

The contact details this firm has registered with the FCA.

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

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

Jason Sweidan
IRN JXS01597
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (20 Jun 2013 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Jemma Helen Kate George
IRN JHG01034
- CF21 Investment Adviser (1 Dec 2001 to 8 Mar 2002)
Joanne Wallen
IRN JXW01385
- CF21 Investment Adviser (1 Dec 2001 to 5 Aug 2003)
Joshua Tristram Anthony Palmer
IRN JTP01028
- CF30 Customer (26 Feb 2013 to 28 Apr 2017)
Justin Lawrence Lever
IRN JLL01022
- CF21 Investment Adviser (1 Dec 2001 to 5 Aug 2003)
Justine Melissa Trueman
IRN JMT01087
- CF21 Investment Adviser (1 Dec 2001 to 31 May 2002)
Katherine Nash
IRN KEB01023
- CF30 Customer (8 Jul 2010 to 28 Mar 2013)
Kevin Roy Gundle
IRN KRG01018
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
- CF1 Director (1 Dec 2001 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
Laurence James Fletcher
IRN LJF01022
- CF21 Investment Adviser (1 Dec 2001 to 28 Feb 2003)
Linda Noakes
IRN LXN01031
- CF21 Investment Adviser (1 Dec 2001 to 8 Mar 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.