CCLA INVESTMENT MANAGEMENT LIMITED

• Principal Place of Business

  1 Angel Lane

  London

  City Of London

  EC4R 3AB

  UNITED KINGDOM

  Phone

  +442074896000

  Web

  https://ccla.co.uk

• Complaints Contact

  1 Angel Lane

  London

  City Of London

  EC4R 3AB

  UNITED KINGDOM

  Phone

  +442074896000

• 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, Life Policy, 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

  Show 15 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.
  • · Limited to investment management activities for the specified customer types.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investments listed other than all contractually based investments.
  • · Limited to unregulated collective investment schemes constituted under Section 24 of the Charities Act 1993.
  • · Limited to sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · Limited to dealing-only activities.
  • · Limited to 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).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying out those activities to those which may be promoted to a Category 3 person in the annex to COB 3.11.2R.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · Limited to Investment Company with Variable Capital share exchange activities and in carrying on such activities to the specified investments listed other than contractually based investments
  • · Limited to Investment Company with Variable Capital activities and in carrying on such activities to the specified investments listed other than "life policy", "funeral plan contract", and "rights to or interests in investments - contractually based investment" (when the latter is associated with these specified investments) for the customer type "retail client"
  • · Limited to authorised unit trust operations and in carrying on such activities to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security" (when the latter is associated with this specified investment), for the customer type "retail client"
  • · Limited to authorised unit trust scheme operations and in carrying on such activities the specified investments listed other than "life policy", "funeral plan contract" and ”rights to or interest in investments - contractually based investment (when the latter is associated with these specified investments) for the customer type, "retail client"
  • · Limited to authorised unit trust scheme share exchange activities and in carrying on such activities to the specified investments listed other than all contractualy based investments

• Arranges Asset Safekeeping

  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, Life Policy, 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

  Show 1 limitation Hide limitations

  • · 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, 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, Life Policy, 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

  Show 10 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.
  • · Limited to investment management activities for the specified customer types.
  • · Limited to unregulated collective investment schemes constituted under Section 24 of the Charities Act 1993.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · Limited to Investment Company with Variable Capital share exchange activities and in carrying on such activities to the specified investments listed other than contractually based investments
  • · Limited to Investment Company with Variable Capital activities and in carrying on such activities to the specified investments listed other than "life policy", "funeral plan contract" and "rights to or interests in investments - contractually based investment" (when the latter is associated with these specified investments ) for the customer type "retail client"
  • · Limited to authorised unit trust operations and in carrying on such activities to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security" (when the latter is associated with this specified investment), for the customer type "retail client"
  • · Limited to authorised unit trust scheme operations and in carrying on such activities the specified investments listed other than "life policy", "funeral plan contract", and "rights to or interest in investments - contractually based investment" (when the latter is associated with these specified investments) for the customer type, "retail ciient"
  • · Limited to authorised unit trust scheme share exchange activities and in carrying on such activities to the specified investments listed other than all contractually based investments

• 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, Life Policy, 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

  Show 13 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.
  • · Limited to investment management activities for the specified customer types.
  • · Limited to unregulated collective investment schemes constituted under Section 24 of the Charities Act 1993.
  • · Limited to transaction-only activities.
  • · Limited to 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).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying out those activities to those which may be promoted to a Category 3 person in the annex to COB 3.11.2R.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · Limited to Investment Company with Variable Capital share exchange activities and in carrying on such activities to the specified investments listed other than contractually based investments
  • · Limited to Investment Company with Variable Capital activities and in carrying on such activities to the specified investments listed other than "life policy", "funeral plan contract", and "rights to or interests in investments - contractually based investment" (when the latter is associated with these specified investments) for the customer type "retail client"
  • · Limited to authorised unit trust operations and in carrying on such activities to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security" (when the latter is associated with this specified investment), for the customer type "retail client"
  • · Limited to authorised unit trust scheme operations and in carrying on such activities the specified investments listed other than "life policy", "funeral plan contract" and "rights to or investments - contractually based investment" (when the latter is associated with these specified investments) for the customer type, "retail client"
  • · Limited to authorised unit trust scheme share exchange activities and in carrying on such activities to the specified investments listed other than all contractually based investments

• Retail Investment Funds

• Manages Your Portfolio

  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, Life Policy, 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

  Show 10 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · 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.
  • · Limited to unregulated collective investment schemes constituted under Section 24 of the Charities Act 1993.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · Limited to Investment Company with Variable Capital share exchange activities and in carrying on such activities to the specified investments listed other than contractually based investments
  • · Limited to Investment Company with Variable Capital activities and in carrying on such activities to the specified investments listed other than "life policy", "funeral plan contract" and "rights to or interests in investments - contractually based investment" (when the latter is associated with these specified investments) for the customer type "retail client".
  • · Limited to authorised unit trust operations and in carrying on such activities to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security" (when the latter is associated with this specified investment), for the customer type "retail client".
  • · Limited to authorised unit trust scheme operations and in carrying on such activities the specified investments listed other than "life policy", "funeral plan contract" and "rights to or interests in investments - contractually based investment" (when the latter is associated with these specified investments) for the customer type, "retail client".
  • · Limited to authorised unit trust scheme share exchange activities and in carrying on such activities to the specified investments listed other than all contractually based investments

• Richard Samuel Bradbury Williams

  IRN RSW01035

  • CF2 Non Executive Director (23 Feb 2011 to 21 May 2018)
• Robert James Evans

  IRN RJE01142

  • [FCA CF] Material risk taker (since 9 Apr 2024)
  • [FCA CF] Manager of certification employee (since 21 Nov 2022)
  • [FCA CF] Client dealing (since 28 Sep 2020)
  • CF30 Customer (7 Feb 2013 to 8 Dec 2019)
• Robert William Lapsley

  IRN RXL00076

  • [FCA CF] Material risk taker (9 Apr 2024 to 31 May 2024)
  • [FCA CF] Client dealing (6 Oct 2020 to 31 May 2024)
• Robin Derek William Hartley Russell

  IRN WRH01005

  • [FCA CF] Client dealing (since 27 Oct 2020)
  • [FCA CF] Functions requiring qualifications (27 Oct 2020 to 26 Sep 2023)
• Robin Gerard Hill

  IRN RGH01071

  • CF21 Investment Adviser (27 May 2003 to 22 Oct 2004)
  • CF22 Investment Adviser (Trainee) (28 Nov 2002 to 27 May 2003)
• Robin Peter Plumridge

  IRN RPP01037

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Jan 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 21 Jan 2020)
  • CF28 Systems and controls (3 May 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 May 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 May 2018 to 8 Dec 2019)
• Roderick Alan Lewis

  IRN RAL01145

  • CF27 Investment Management (21 Aug 2006 to 27 Jul 2007)
• Rodney John Dennis

  IRN RJD01125

  • CF2 Non Executive Director (22 Feb 2008 to 25 Jan 2011)
• Romain Maxence Nicolas Mouquet

  IRN RXM00179

  • [FCA CF] Client dealing (28 Sep 2020 to 20 Nov 2023)
• Rorie Charles Edward Evans

  IRN RXE00206

  • [FCA CF] Client dealing (since 9 Sep 2025)

• Big Issue Invest Limited (no longer appointed)

  FRN 515009 · Appointed 22 Dec 2009 · Until 1 Apr 2014

No changes recorded yet.