AXM Venture Capital Ltd

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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.

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

For Eligible Counterparty, Professional, Share
Stockbroking

For Eligible Counterparty, Professional, Share
Runs Investment Funds
Investment Setup

For Eligible Counterparty, Professional, Share
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Private Investment Funds
Manages Your Portfolio

For Eligible Counterparty, Professional, Share
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.

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

Edward James Timothy Brett
IRN EJB01049
- CF30 Customer (21 Jan 2008 to 1 Mar 2008)
Fredric William Mendelsohn
IRN FWM01006
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF1 Director (4 Mar 2005 to 8 Dec 2019)
- CF8 Apportionment and Oversight (4 Mar 2005 to 31 Oct 2007)
- CF27 Investment Management (4 Mar 2005 to 31 Oct 2007)
- CF11 Money Laundering Reporting (4 Mar 2005 to 8 Dec 2019)
- CF10 Compliance Oversight (4 Mar 2005 to 8 Dec 2019)
Henry Jonathan Fyson
IRN HJF01026
- CF30 Customer (1 Nov 2007 to 15 Dec 2008)
- CF27 Investment Management (4 Mar 2005 to 31 Oct 2007)
Kenneth John Terry
IRN KJT01031
- CF30 Customer (2 Jan 2008 to 1 Mar 2008)
Nicholas Caiger-Smith
IRN NXC01285
- CF10 Compliance Oversight (28 Mar 2006 to 1 Mar 2007)
- CF21 Investment Adviser (28 Mar 2006 to 1 Mar 2007)
- CF27 Investment Management (28 Mar 2006 to 1 Mar 2007)
Paul David Fowler
IRN PXF00242
- SMF3 Executive Director (since 23 Apr 2024)
Rupert Wynne Wingate-Saul
IRN RWW01097
- CF1 Director (AR) (since 30 Nov 2017)
Stephen John Clough
IRN SJC01492
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF11 Money Laundering Reporting (24 Nov 2016 to 8 Dec 2019)
- CF10 Compliance Oversight (24 Nov 2016 to 8 Dec 2019)

Smaller firms operating under this firm's FCA authorisation.

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.