Broadwalk Asset Management LLP

• Principal Place of Business

  5 Cambridge Place

  London

  W8 5PB

  UNITED KINGDOM

  Phone

  +4407771885984

• Complaints Contact

  5 Cambridge Place

  London

  Kensington And Chelsea

  W8 5PB

  UNITED KINGDOM

  Phone

  +447771885984

• Investment Advice (no pensions)

  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, Unit, Warrant

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  • · 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.

• Authorised to Operate

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  • · 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, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Structured Deposits, Unit, Warrant

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  • · 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.

• Arranges Asset Safekeeping

  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, Unit, Warrant

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  • · 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.

• 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, Unit, Warrant

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  • · 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, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · 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.

• Private Investment Funds

• Manages Your Portfolio

  For 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, Warrant

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  • · 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.

• . Broadwalk Partner Limited

  IRN XXB01049

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (26 Feb 2008 to 8 Dec 2019)
• Charles Cottam

  IRN CRC01046

  • SMF16 Compliance Oversight (since 12 Apr 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Apr 2021)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF4 Partner (26 Feb 2008 to 8 Dec 2019)
  • CF30 Customer (26 Feb 2008 to 8 Dec 2019)
  • CF10 Compliance Oversight (26 Feb 2008 to 21 Mar 2016)
  • CF11 Money Laundering Reporting (26 Feb 2008 to 21 Mar 2016)
  • CF3 Chief Executive (26 Feb 2008 to 8 Dec 2019)
• Elise Henriikka Elisabeth Auer

  IRN EHA00003

  • CF30 Customer (2 Jan 2015 to 23 Nov 2017)
• Mark David Bayley

  IRN MDB01128

  • SMF16 Compliance Oversight (17 Mar 2023 to 5 Mar 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (17 Mar 2023 to 5 Mar 2024)
• Mark Shepperd

  IRN MXS01360

  • CF30 Customer (13 Feb 2013 to 8 Dec 2019)
• Peter Antony Bowden

  IRN PAB01245

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Feb 2024)
  • SMF16 Compliance Oversight (since 23 Feb 2024)
• Robert Samuel Murphy

  IRN RSM01054

  • CF30 Customer (26 Feb 2008 to 14 Dec 2009)
• Shaun Mark Taulbut

  IRN SMT01060

  • CF11 Money Laundering Reporting (1 Nov 2015 to 21 Sep 2017)
  • CF10 Compliance Oversight (1 Nov 2015 to 21 Sep 2017)
  • CF30 Customer (5 Feb 2014 to 10 Apr 2018)
• Simon Mark Strong

  IRN SMS01099

  • CF30 Customer (27 Jan 2012 to 19 Feb 2015)
• William Richey Christopher Bastow

  IRN WXB01136

  • SMF16 Compliance Oversight (9 Dec 2019 to 13 Dec 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Dec 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Dec 2020)
  • CF11 Money Laundering Reporting (27 Sep 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (27 Sep 2017 to 8 Dec 2019)
  • CF30 Customer (26 May 2017 to 8 Dec 2019)

No changes recorded yet.