CG Asset Management Limited

• Principal Place of Business

  20 King Street

  London

  EC2V 8EG

  UNITED KINGDOM

  Phone

  +4402039061633

  Web

  https://www.cgasset.com

• Complaints Contact

  20 King Street

  London

  EC2V 8EG

  UNITED KINGDOM

  Phone

  +4402039061633

• 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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.

• 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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 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).

• 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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.

• 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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.

• 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 2 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.

• Hassan Raza

  IRN HXR30049

  • [FCA CF] Client dealing (since 9 Aug 2021)
• James Maurice Sydney Ekins

  IRN JME01039

  • CF2 Non Executive Director (1 Dec 2001 to 6 Jan 2017)
• Katherine Forbes

  IRN KXF62696

  • [FCA CF] Client dealing (since 15 Apr 2024)
• Killian Buckley

  IRN KXB21795

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (3 Dec 2019 to 8 Dec 2019)
• Lisa Bajardi

  IRN LXB00529

  • [FCA CF] Client dealing (3 Oct 2022 to 30 Sep 2023)
• Markham Cannon Brookes

  IRN MXC01327

  • CF2 Non Executive Director (7 May 2002 to 10 Jan 2019)
• Richard John Goody

  IRN RJG01259

  • [FCA CF] Material risk taker (30 Nov 2021 to 30 Sep 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 21 Aug 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Aug 2024)
  • SMF3 Executive Director (9 Dec 2019 to 26 Apr 2023)
  • CF28 Systems and controls (7 Aug 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (7 Aug 2015 to 8 Dec 2019)
  • CF1 Director (7 Aug 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (7 Aug 2015 to 8 Dec 2019)
  • CF30 Customer (31 May 2012 to 8 Dec 2019)
• Robert Peter Alleyne Spiller

  IRN RPS01043

  • [FCA CF] Client dealing (since 15 Apr 2024)
  • [FCA CF] Material risk taker (since 30 Nov 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 19 Jul 2018)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
• Sophia Margot Sednaoui

  IRN SXS05358

  • [FCA CF] Client dealing (7 Aug 2024 to 6 Oct 2025)
• Theresa Ann Hayden

  IRN TAR01038

  • [FCA CF] Material risk taker (30 Nov 2021 to 30 Apr 2022)
  • SMF3 Executive Director (5 May 2020 to 29 Apr 2022)
  • CF30 Customer (15 Jul 2019 to 8 Dec 2019)

No changes recorded yet.