Blackfriars Asset Management Limited

Date authorised
1 April 2013
Companies House
03173991
Last scraped
3 weeks ago
Watch for changes

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

    Show 4 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
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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.

  • Jose Gerardo Morales

    IRN JGM01052

    • CF27 Investment Management (6 Nov 2002 to 30 Jun 2006)
  • Ju Yen Tan

    IRN JYT01002

    • CF27 Investment Management (27 Dec 2001 to 24 Jun 2004)
  • Julian Charles Nichols

    IRN JCN01020

    • CF28 Systems and controls (1 Nov 2007 to 31 Dec 2008)
    • CF15 Internal Audit (1 Dec 2001 to 31 Oct 2007)
  • Jurgen Mahler

    IRN JXM02551

    • CF30 Customer (6 Nov 2007 to 31 Dec 2007)
  • Kevin John Birch

    IRN KJB01106

    • CF1 Director (5 Feb 2003 to 11 Sep 2003)
  • Kevin Michael Tolan

    IRN KMT01034

    • CF10 Compliance Oversight (17 Jan 2008 to 17 Sep 2010)
    • CF11 Money Laundering Reporting (17 Jan 2008 to 1 May 2009)
  • Lawrence Adrian Thirlwall

    IRN LAT01024

    • CF27 Investment Management (1 Dec 2001 to 30 Sep 2003)
  • Lee Ray

    IRN LRR01007

    • CF30 Customer (1 Nov 2007 to 28 Apr 2011)
    • CF21 Investment Adviser (5 Dec 2006 to 31 Oct 2007)
  • Lucy McGauran

    IRN LXM01709

    • CF30 Customer (4 Mar 2013 to 6 Aug 2015)
  • Luke James Charles Nunneley

    IRN LJN01009

    • CF30 Customer (1 Nov 2007 to 31 Dec 2008)
    • CF3 Chief Executive (29 Sep 2004 to 7 May 2006)
    • CF8 Apportionment and Oversight (29 Sep 2004 to 31 Oct 2007)
    • CF27 Investment Management (29 Sep 2004 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 31 Dec 2008)
    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 15 Jul 2007)
    • CF19 Significant Mgt (Financial Resources) (1 Dec 2001 to 27 Mar 2002)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

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