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.

Richard Simon Lander
IRN RSL01026
- CF21 Investment Adviser (1 Dec 2001 to 5 Aug 2003)
Robert Jay Weir
IRN RJW01236
- CF21 Investment Adviser (12 Aug 2003 to 29 Apr 2005)
Ruth Virginia Idzik
IRN RVT01005
- CF30 Customer (27 Mar 2012 to 31 Jul 2013)
Sunil Kishin Jagtiani
IRN SKJ01010
- CF21 Investment Adviser (1 Dec 2001 to 5 Aug 2003)
Thomas Margerison
IRN TXM00249
- [FCA CF] Client dealing (1 Feb 2021 to 22 Sep 2023)
William Rodney Hobson
IRN WRH01014
- CF21 Investment Adviser (1 Dec 2001 to 30 Aug 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.