BOHLER & ASSOCIATES LIMITED

Date authorised
1 April 2013
Companies House
02804434
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    17 Cavendish Square
    London
    W1G 0PH
    UNITED KINGDOM
    Phone
    +442088696400
    Web
    http://www.bohler.co.uk

  • Complaints Contact

    17 Cavendish Square
    London
    W1G 0PH
    UNITED KINGDOM
    Phone
    +442088696400

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • 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, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Stockbroking

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

    Show 1 limitation
    • · Investment activity in rights to or interests in investments (security) and rights to or interests in investments (contractually based investment) is limited to the investment types granted for this activity

  • Trades With You Directly

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

    Show 3 limitations
    • · Dealing as principal, but only holding positions as a result of the firm's failure to match investor' orders precisely; and (a) such positions are incidental and provisional in nature and strictly limited to the time required to carry out the transaction in question; and (b) the total market value of all such positions does not exceed 15% of the firm's initial capital.
    • · The firm is acting exclusively as a matched principal broker
    • · Investment activity in rights to or interests in investments (security) and rights to or interests in investments (contractually based investment) is limited to the investment types granted for this activity

  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Manages Your Portfolio

    For Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Bhopinder Singh Soodi

    IRN BSS01033

    • CF30 Customer (1 Nov 2007 to 1 Mar 2015)
    • CF29 Significant management (1 Nov 2007 to 1 Mar 2015)
    • CF20 Significant Mgt (Settlements) (28 Jul 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (28 Jul 2006 to 31 Oct 2007)
    • CF26 Customer Trading (28 Jul 2006 to 31 Oct 2007)
  • David Paul Hodgson

    IRN DXH02018

    • CF30 Customer (9 Feb 2015 to 13 May 2019)
  • Helmuth Heeb

    IRN HXH01043

    • CF30 Customer (1 Nov 2007 to 14 Nov 2008)
    • CF26 Customer Trading (19 Aug 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Michael Richard Aylett

    IRN MRA01039

    • CF21 Investment Adviser (1 Dec 2001 to 22 Mar 2002)
  • Sergio Magin Boehler

    IRN SMB01254

    • CF1 Director (1 Jul 2013 to 1 Apr 2016)
    • CF30 Customer (1 Jul 2013 to 1 Apr 2016)
  • Victor Antonio Boehler

    IRN VAB01011

    • [FCA CF] Client dealing (since 24 Apr 2021)
    • [PRA CF] Significant risk taker or Material risk taker (since 24 Apr 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF26 Customer Trading (18 Aug 2005 to 31 Oct 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • Viktor Karl Boehler

    IRN VKB01001

    • CF30 Customer (1 Nov 2007 to 13 May 2019)
    • CF26 Customer Trading (19 Aug 2005 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 13 May 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF4 Partner (1 Dec 2001 to 13 May 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • William Birkbeck

    IRN WXB16752

    • CF30 Customer (1 Jul 2019 to 7 Jan 2020)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.