Berkeley Asset Management LLP

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FRN: 500710
Date authorised: 1 April 2013
Companies House: OC344910
Last scraped: 2 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

Chess Spring House

Pednor Vale

Chesham

Buckinghamshire

HP5 2ST

UNITED KINGDOM

Phone

+4402078710730
Complaints Contact

Chess Spring House

Pednor Vale

Chesham

Buckinghamshire

HP5 2ST

UNITED KINGDOM

Phone

+442078710733

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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" 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, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Arranges Asset Safekeeping

For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
Stockbroking

For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Investment Setup

For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Manages Your Portfolio

For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

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

. HRF Investments Ltd
IRN XXH01073
- SMF27 Partner (9 Dec 2019 to 21 Nov 2022)
- CF4 Partner (21 Oct 2010 to 8 Dec 2019)
. Naivasha Investments (UK) Limited
IRN XXN01038
- SMF27 Partner (9 Dec 2019 to 14 Feb 2020)
- CF4 Partner (21 Oct 2010 to 8 Dec 2019)
Alinawaaz Khalpey
IRN AXK01117
- CF30 Customer (1 Feb 2017 to 23 Apr 2018)
Anthony Bodenstein
IRN AXB01883
- CF30 Customer (16 Jul 2015 to 28 Apr 2017)
Anthony Stern
IRN AXS02333
- CF30 Customer (27 Feb 2012 to 18 Sep 2015)
Arieh Alan Stefan Epstein
IRN AAE01006
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (14 Aug 2009 to 8 Dec 2019)
- CF4 Partner (14 Aug 2009 to 17 Mar 2014)
Bruno Marcel Choumon
IRN BXC01191
- CF30 Customer (6 Mar 2014 to 13 Jan 2016)
Claire Marie te Riele
IRN CMT01107
- CF30 Customer (28 Feb 2018 to 25 Apr 2018)
David George Schwartz
IRN DGS01147
- CF30 Customer (3 Dec 2016 to 31 Mar 2017)
David Waxman
IRN DXW01987
- CF30 Customer (2 Jun 2015 to 30 Apr 2016)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Pecten Capital LLP (no longer appointed)
FRN 924653 · Appointed 17 Apr 2020 · Until 19 Jul 2021
EFG HERMES UK LIMITED (no longer appointed)
FRN 770149 · Appointed 25 Jan 2017 · Until 30 Apr 2018
Amram Capital Limited (no longer appointed)
FRN 705842 · Appointed 9 Jun 2015 · Until 31 Mar 2017
Azla Advisors K Ltd (no longer appointed)
FRN 694869 · Appointed 12 May 2015 · Until 23 Mar 2017

Recent activity

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

No changes recorded yet.

What it all means

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.