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

• Rosemary Frances Norris

  IRN RFB00024

  • CF2 Non Executive Director (14 Dec 2015 to 17 Oct 2018)
• Roy Kevin Halliday

  IRN RXH00127

  • [FCA CF] Client dealing (9 Oct 2020 to 9 Apr 2021)
• Roy Wilson

  IRN RXW01199

  • CF2 Non Executive Director (1 Dec 2001 to 7 May 2008)
• Samuel Lynes

  IRN SXL00163

  • [FCA CF] Client dealing (10 Nov 2022 to 28 Feb 2026)
• Samuel William John Pennefather

  IRN SXP00696

  • [FCA CF] Manager of certification employee (25 Apr 2023 to 28 Feb 2026)
  • [FCA CF] Client dealing (10 Nov 2022 to 28 Feb 2026)
• Sarah Helen Forrest

  IRN SHF01035

  • CF11 Money Laundering Reporting (14 Aug 2015 to 31 Jan 2018)
  • CF10 Compliance Oversight (14 Aug 2015 to 31 Jan 2018)
  • CF28 Systems and controls (14 Aug 2015 to 31 Jan 2018)
• Sarah Jacqueline Forster

  IRN SJH01503

  • CF1 Director (AR) (28 Jan 2010 to 1 Apr 2014)
• Sean Patrick Curran

  IRN SXC01290

  • CF10a CASS Oversight function (16 Apr 2012 to 22 Jan 2013)
  • CF28 Systems and controls (1 Nov 2007 to 31 Jan 2013)
  • CF1 Director (10 May 2007 to 31 Jan 2013)
  • CF13 Finance (10 May 2007 to 31 Oct 2007)
• Sean Philip Harper

  IRN SXH00824

  • [FCA CF] Client dealing (since 19 Aug 2022)
• Sidhant Mehta

  IRN SXM00472

  • [FCA CF] Client dealing (since 2 Mar 2021)

• Big Issue Invest Limited (no longer appointed)

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

No changes recorded yet.