CAL Investments Limited

Date authorised
1 April 2013
Companies House
01488617
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    First Floor, Nicholas House
    3 Laurence Pountney Hill
    London
    EC4R 0EU
    UNITED KINGDOM
    Phone
    +4402039830704
    Web
    https://www.calinvestments.co.uk

  • Complaints Contact

    First Floor, Nicholas House
    3 Laurence Pountney Hill
    London
    EC4R 0EU
    UNITED KINGDOM
    Phone
    +4402039830704

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 2 limitations
    • · Limited to corporate finance or venture capital business when dealing with retail (investment) clients
    • · 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

    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 2 limitations
    • · Limited to corporate finance or venture capital business when dealing with retail (investment) clients
    • · 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, Spread Bet, Unit, 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.

  • Runs Investment Funds

  • 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 2 limitations
    • · Limited to corporate finance or venture capital business when dealing with retail (investment) clients
    • · 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 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 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.

Approved individuals

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

  • Elliot Reid Caldwell

    IRN ERC01006

    • CF10 Compliance Oversight (14 Mar 2011 to 9 Dec 2016)
    • CF11 Money Laundering Reporting (14 Mar 2011 to 9 Dec 2016)
    • CF3 Chief Executive (5 Mar 2010 to 6 Feb 2017)
    • CF30 Customer (5 Mar 2010 to 6 Feb 2017)
    • CF1 Director (5 Mar 2010 to 6 Feb 2017)
  • Erick Zanker

    IRN EXZ01019

    • CF1 Director (6 Jul 2009 to 6 Aug 2009)
    • CF30 Customer (1 Nov 2007 to 30 Jun 2009)
    • CF21 Investment Adviser (20 Dec 2006 to 31 Oct 2007)
  • Gregory Forshaw Pritchard

    IRN GFP01020

    • [FCA CF] Client dealing (since 25 Mar 2025)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (1 Feb 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Feb 2017 to 8 Dec 2019)
    • CF1 Director (1 Feb 2017 to 8 Dec 2019)
  • Heiner Behrendt

    IRN HXB01065

    • CF27 Investment Management (15 Jul 2005 to 1 Oct 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 11 Jul 2005)
    • CF3 Chief Executive (1 Dec 2001 to 11 Jul 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 1 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 11 Jul 2005)
    • CF10 Compliance Oversight (1 Dec 2001 to 11 Jul 2005)
    • CF1 Director (1 Dec 2001 to 1 Oct 2007)
  • Jeffrey Simon Turner-Ross

    IRN JSR01042

    • CF30 Customer (9 Dec 2016 to 26 Apr 2019)
    • CF1 Director (9 Dec 2016 to 26 Apr 2019)
  • Keiran Paul Foad

    IRN KPF01015

    • CF30 Customer (12 May 2010 to 7 Nov 2012)
  • Klaus Hebben

    IRN KXH01157

    • CF30 Customer (1 Nov 2007 to 5 Mar 2010)
    • CF1 Director (1 Dec 2001 to 5 Mar 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Kristian Wilkinson

    IRN KXW00277

    • [FCA CF] Client dealing (19 Apr 2022 to 23 Apr 2023)
  • Lorraine Mary Broadley

    IRN LMB01068

    • CF21 Investment Adviser (1 Dec 2001 to 31 Jan 2003)
  • Marcus Phon Custance

    IRN MPC01049

    • CF27 Investment Management (4 Apr 2002 to 31 Jan 2003)
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Recent activity

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

No changes recorded yet.