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.

Luke Charles Dixon
IRN LCD01026
- CF21 Investment Adviser (23 Feb 2004 to 4 Sep 2006)
Maureen Ruth Osborne
IRN MRE01022
- CF30 Customer (9 Nov 2012 to 13 Jul 2015)
Meera Selvananthan
IRN MXS01596
- CF21 Investment Adviser (1 Dec 2001 to 19 Aug 2002)
Melissa Edith Hillebrand
IRN MEH01128
- CF30 Customer (21 Jan 2009 to 26 Mar 2013)
Michelle Bennett
IRN MXB00809
- SMF3 Executive Director (since 11 Apr 2022)
Neil Eltin Cowhig
IRN NEC00023
- CF30 Customer (10 Feb 2009 to 2 Jul 2010)
Neil McDonald Meadows
IRN NMM01025
- CF21 Investment Adviser (28 Apr 2004 to 17 Feb 2005)
Oliver Simon Druce
IRN OSD01004
- CF30 Customer (17 Mar 2008 to 20 Oct 2011)
Patrick Russell Sherwen
IRN PXS01402
- CF21 Investment Adviser (1 Dec 2001 to 5 Aug 2003)
Paul Michael Broxup
IRN PMB01215
- [FCA CF] Client dealing (10 Feb 2021 to 15 Oct 2021)
- CF30 Customer (12 Nov 2019 to 8 Dec 2019)

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.