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.

Hugh Robin Hunter
IRN HRH01004
- CF30 Customer (1 Nov 2007 to 28 Apr 2011)
- CF3 Chief Executive (24 May 2006 to 29 Apr 2011)
- CF1 Director (27 Oct 2004 to 21 Jul 2011)
- CF16 Significant Mgt (Desgntd Investment Business) (29 Sep 2004 to 15 Jul 2007)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
Ian Michael Williams
IRN IMW01023
- CF27 Investment Management (13 Nov 2002 to 1 Jul 2006)
Isabel Sebastian de Erice
IRN IXS01329
- CF30 Customer (6 Nov 2007 to 31 Aug 2008)
James Allan Hurlin
IRN JAH01239
- CF27 Investment Management (19 Jul 2002 to 19 Dec 2002)
Jamie Solomons
IRN JXS02819
- CF30 Customer (7 Aug 2013 to 19 Jul 2018)
Jennifer Emma Clarke
IRN JEN01038
- CF30 Customer (30 May 2008 to 3 Sep 2008)
Joanne Margaret Brewer
IRN JMH01201
- CF29 Significant management (1 Nov 2007 to 18 Feb 2011)
- CF20 Significant Mgt (Settlements) (22 May 2002 to 25 Jul 2002)
John Arthur Lupton
IRN JAL01097
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2003)
Jonathan Michael Little
IRN JML01069
- CF1 Director (25 Nov 2009 to 30 Jul 2010)
- CF2 Non Executive Director (23 Jan 2009 to 25 Nov 2009)
Jonathan Morris
IRN JXM02386
- CF30 Customer (1 Nov 2007 to 11 Jan 2008)
- CF27 Investment Management (18 Nov 2005 to 31 Oct 2007)
- CF21 Investment Adviser (18 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.