Blackfriars Asset Management Limited

• 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

• 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

  Show 4 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.
  • · 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.

• Ryan Ellis Medlock

  IRN REM01052

  • CF30 Customer (16 May 2008 to 17 Feb 2012)
• Sandeep Bandesha

  IRN SXB02635

  • CF10 Compliance Oversight (1 May 2012 to 31 Jan 2015)
  • CF11 Money Laundering Reporting (1 May 2012 to 31 Jan 2015)
• Sarah Frances Docx

  IRN SFD01015

  • CF10 Compliance Oversight (4 Jul 2003 to 8 Jul 2005)
• Seang - Lim Tan

  IRN SLT01055

  • CF30 Customer (15 Sep 2011 to 12 Mar 2018)
• Simon Andrew Sherski

  IRN AXS01687

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Oct 2021)
  • SMF16 Compliance Oversight (since 13 Oct 2021)
• Simon Charles Lindsay Dobson

  IRN SCD01036

  • CF30 Customer (15 Jul 2014 to 24 Aug 2016)
• Siong Huat Soh

  IRN SHS01063

  • CF30 Customer (2 Mar 2009 to 20 May 2013)
• Stephen Simmons

  IRN SGS01041

  • CF30 Customer (15 Jul 2014 to 6 Feb 2019)
• Suthagar Ponniah

  IRN SXP01912

  • CF28 Systems and controls (19 Jul 2011 to 29 Jul 2011)
• Thant Han

  IRN TXH01118

  • CF30 Customer (1 Nov 2007 to 1 Oct 2010)
  • CF27 Investment Management (19 Jul 2005 to 31 Oct 2007)

• Clarity Advice & Management Ltd (no longer appointed)

  FRN 768362 · Appointed 1 Jan 2017 · Until 4 Feb 2019

No changes recorded yet.