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

• Ella Mary Louise Smith

  IRN EXS00304

  • [FCA CF] Client dealing (8 Mar 2023 to 5 Nov 2025)
• Elliot Basford

  IRN EXB00077

  • [FCA CF] Client dealing (since 18 Dec 2024)
• Eoghan Reid

  IRN EXR81587

  • [FCA CF] Client dealing (since 11 Mar 2025)
• Fiorangelo Salvatorelli

  IRN FXS01045

  • CF30 Customer (1 Feb 2016 to 9 Dec 2016)
• Frances Irene Cowell

  IRN FXC01115

  • CF30 Customer (1 Nov 2007 to 5 Aug 2009)
  • CF21 Investment Adviser (4 Oct 2007 to 31 Oct 2007)
  • CF27 Investment Management (4 Oct 2007 to 31 Oct 2007)
• Gabriel Rene Maroonie Antonie

  IRN GXA00043

  • [FCA CF] Client dealing (28 Sep 2020 to 30 May 2024)
• Gavin Christopher Ludden

  IRN GXL00232

  • 15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
  • 17. Administrative functions in relation to managing investments
  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Material risk taker (since 17 Nov 2023)
  • [FCA CF] Significant management (since 17 Nov 2023)
  • [FCA CF] CASS oversight function (since 17 Nov 2023)
  • [FCA CF] Manager of certification employee (since 17 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 9 Jan 2023)
• Gerard James Williams

  IRN GXW00052

  • [FCA CF] Client dealing (9 Oct 2020 to 20 Aug 2025)
• Glenn Martin Newson

  IRN GMN01014

  • Director of firm who is not a certification employee or a SMF manager (3 Feb 2020 to 25 Oct 2021)
  • CF2 Non Executive Director (29 Oct 2018 to 8 Dec 2019)
• Hamish William Dudgeon

  IRN HXD00029

  • [FCA CF] Client dealing (since 25 Apr 2025)

• Big Issue Invest Limited (no longer appointed)

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

No changes recorded yet.