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.

Christopher Wing-Kai Chan
IRN CWC01038
- CF30 Customer (2 Mar 2009 to 6 Jan 2012)
Clair Elizabeth Gibson
IRN CEG01038
- CF11 Money Laundering Reporting (1 Aug 2011 to 2 Feb 2012)
- CF10 Compliance Oversight (30 Nov 2010 to 2 Feb 2012)
Constant Eduard Maria Beckers
IRN CEB01026
- CF8 Apportionment and Oversight (1 Dec 2001 to 31 Jan 2003)
- CF3 Chief Executive (1 Dec 2001 to 31 Jan 2003)
- CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Jan 2003)
- CF1 Director (1 Dec 2001 to 31 Jan 2003)
Craig Lee Veysey
IRN CLV01003
- CF21 Investment Adviser (8 Jun 2004 to 7 Jan 2007)
- CF27 Investment Management (8 Jun 2004 to 7 Jan 2007)
Dallas John McGillivray
IRN DJM01287
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Oct 2021)
- SMF16 Compliance Oversight (9 Dec 2019 to 13 Oct 2021)
- SMF3 Executive Director (9 Dec 2019 to 18 Jul 2022)
- CF11 Money Laundering Reporting (28 Nov 2019 to 8 Dec 2019)
- CF1 Director (28 Nov 2019 to 8 Dec 2019)
- CF10 Compliance Oversight (28 Nov 2019 to 8 Dec 2019)
Daniel Stuart Tubbs
IRN DST01027
- CF27 Investment Management (1 Dec 2001 to 25 Jun 2007)
Darren Robert Read
IRN DRR01027
- CF27 Investment Management (1 Dec 2001 to 30 Aug 2002)
Dennis Kwist
IRN DXK01099
- CF27 Investment Management (1 Dec 2001 to 14 Dec 2001)
Dipak Mansukhlal Chouhan
IRN DMC01179
- CF30 Customer (26 Jan 2010 to 1 Feb 2013)
Edward Lee Daniel
IRN ELD01018
- CF27 Investment Management (20 May 2003 to 30 Sep 2003)

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.