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.

Ernst Josef Osiander
IRN EXO01013
- CF30 Customer (1 Nov 2007 to 1 Oct 2010)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
Frank Naylor
IRN FXN01005
- CF27 Investment Management (9 May 2002 to 20 Oct 2003)
- CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 20 Oct 2003)
Gariesh Kumar Sharma
IRN GKS01011
- CF1 Director (AR) (20 Jan 2017 to 30 Jan 2019)
- CF10 Compliance Oversight (13 Feb 2015 to 6 Dec 2019)
- CF11 Money Laundering Reporting (13 Feb 2015 to 6 Dec 2019)
- CF30 Customer (19 Oct 2011 to 6 Dec 2019)
- CF1 Director (19 Oct 2011 to 6 Dec 2019)
Georgina Louise Taylor
IRN GLT01008
- CF27 Investment Management (8 Nov 2004 to 13 Jul 2006)
Glen Johnston Prentice
IRN GJP01077
- CF30 Customer (1 Nov 2007 to 27 May 2014)
- CF27 Investment Management (1 Dec 2001 to 9 Jun 2004)
Gregory Allan Brisk
IRN GAB01056
- CF1 Director (18 Aug 2010 to 30 Sep 2012)
Guy Andrew Hudson
IRN GAH01052
- CF1 Director (6 Oct 2006 to 9 Jan 2007)
Hean-Lee Poh
IRN HXP01048
- CF27 Investment Management (1 Dec 2001 to 31 May 2002)
Henry Dominic Chicheley Thornton
IRN HDT01004
- CF30 Customer (15 Jul 2014 to 31 Jul 2019)
Hugh Adam Simon
IRN HAS01055
- SMF9 Chair of the Governing Body (since 27 Feb 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (24 May 2011 to 8 Dec 2019)

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.