Blackfriars Asset Management Limited

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FRN: 180892
Date authorised: 1 April 2013
Companies House: 03173991
Last scraped: 3 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

Blackfriars Asset Management Ltd

Landmark

4th Floor

78 Cannon Street

London

City Of London

EC4N 6HL

UNITED KINGDOM

Phone

+4402073322273

Web

https://www.blackfriarsam.com
Complaints Contact

Landmark

4th Floor

78 Cannon Street

London

EC4N 6HL

UNITED KINGDOM

Phone

+442890425451

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

Investment Advice (no pensions)

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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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- · Limited to both regulated and unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
- · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Contract for Difference, Spread Bet, Rolling Spot Forex Contract, Commodity Future, Future, Commodity option or Option.
Authorised to Operate
Show 1 limitation Hide limitations
- · 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, Commodity Future, Commodity option and option on commodity future, 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 3 limitations Hide limitations
- · Limited to both regulated and unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
Stockbroking

For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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 3 limitations Hide limitations
- · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
Investment Setup

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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 3 limitations Hide limitations
- · Limited to both regulated and unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
Manages Your Portfolio

For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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 2 limitations Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

Approved individuals

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

Neil Goddin
IRN NXG01213
- CF30 Customer (1 Nov 2007 to 17 Nov 2008)
- CF21 Investment Adviser (13 Mar 2007 to 31 Oct 2007)
Neil Raymond William Colverd
IRN NRC01019
- CF8 Apportionment and Oversight (21 Aug 2007 to 31 Oct 2007)
Nicholas Alfred Field
IRN NAF01015
- CF27 Investment Management (1 Dec 2001 to 16 Jul 2006)
Nicholas Tucker
IRN NXT01049
- CF29 Significant management (1 Nov 2007 to 26 Feb 2010)
- CF30 Customer (1 Nov 2007 to 26 Feb 2010)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
- CF20 Significant Mgt (Settlements) (1 Dec 2001 to 31 Oct 2007)
Nicolas Michel Marie-Vianney Ribes
IRN NMR01013
- CF27 Investment Management (1 Dec 2001 to 24 May 2002)
Nigel Peter Jenkins
IRN NXJ01042
- CF16 Significant Mgt (Desgntd Investment Business) (29 May 2002 to 30 Sep 2003)
- CF27 Investment Management (1 Dec 2001 to 30 Sep 2003)
Nigel Roy Williams
IRN NRW01049
- CF10 Compliance Oversight (28 Feb 2002 to 30 Sep 2004)
Paul Thomas Lavin
IRN PTL01016
- CF30 Customer (1 Nov 2007 to 29 May 2009)
- CF21 Investment Adviser (28 Dec 2005 to 31 Oct 2007)
- CF27 Investment Management (28 Dec 2005 to 31 Oct 2007)
Philip Wei Yuen Chow
IRN PWC01022
- CF27 Investment Management (5 Aug 2002 to 30 Sep 2003)
Piers Adrian Carlyle Hillier
IRN PAH01121
- CF30 Customer (1 Nov 2007 to 17 Nov 2008)
- CF27 Investment Management (10 Nov 2005 to 31 Oct 2007)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Clarity Advice & Management Ltd (no longer appointed)
FRN 768362 · Appointed 1 Jan 2017 · Until 4 Feb 2019

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.