Charteris Treasury Portfolio Managers Limited

Watch for changes

FRN: 114952
Date authorised: 1 April 2013
Companies House: 01830771
Last scraped: 3 weeks ago

Watch for changes

Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

AMP House

4th Floor Suite 10

Dingwall Road

Croydon

CR0 2LX

UNITED KINGDOM

Phone

+4402072209780

Web

https://www.charteris.co.uk
Complaints Contact

AMP House

4th Floor Suite 10

Dingwall Road

Croydon

CR0 2LX

UNITED KINGDOM

Phone

+4402072209780

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

P2P Lending Advice

For Eligible Counterparty, Professional, Retail (Investment)
Investment Advice (no pensions)

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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, Structured Deposits, 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.
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, 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), 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 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.
Arranges Asset Safekeeping

For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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, 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, Spread Bet, 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.
Investment Setup

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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 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.
Manages Your Portfolio

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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, Spread Bet, Structured Deposits, 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.
Holds Your Assets

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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, Spread Bet, 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.

Approved individuals

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

Denise Marie Collins
IRN DMC01126
- CF21 Investment Adviser (1 Dec 2001 to 27 Jun 2005)
Dennis Alan Lane
IRN DAL00044
- CF21 Investment Adviser (17 Feb 2003 to 10 Oct 2003)
Derek Edward Gawne
IRN DEG00001
- 14. Managing investments
- [FCA CF] Functions requiring qualifications (since 5 Oct 2021)
Douglas Gordon Walker
IRN DGW01046
- CF22 Investment Adviser (Trainee) (26 Feb 2003 to 27 May 2003)
Douglas Ivan Lambourne
IRN DIL01005
- CF30 Customer (18 Dec 2007 to 6 Nov 2009)
Edward Arthur Shaw
IRN EAS01035
- CF30 Customer (1 Nov 2007 to 23 Feb 2011)
- CF1 Director (7 Jan 2005 to 13 Nov 2017)
- CF11 Money Laundering Reporting (7 Jan 2005 to 31 May 2006)
- CF10 Compliance Oversight (7 Jan 2005 to 31 May 2006)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Francis Patrick Strain Phillips
IRN FPP01003
- CF21 Investment Adviser (21 Mar 2003 to 1 Mar 2006)
- CF27 Investment Management (21 Mar 2003 to 1 Mar 2006)
Ian Gillings
IRN IXG00008
- CF8 Apportionment and Oversight (1 Dec 2001 to 13 Sep 2002)
- CF1 Director (1 Dec 2001 to 13 Sep 2002)
- CF3 Chief Executive (1 Dec 2001 to 13 Sep 2002)
Ian Robert Williams
IRN IRW01033
- 14. Managing investments
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF13 Finance (10 Oct 2002 to 31 Oct 2007)
- CF8 Apportionment and Oversight (10 Oct 2002 to 31 Oct 2007)
- CF1 Director (10 Oct 2002 to 8 Dec 2019)
- CF3 Chief Executive (10 Oct 2002 to 8 Dec 2019)
- CF27 Investment Management (10 Oct 2002 to 31 Oct 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Jeremy Nicholas Sheard
IRN JNS00005
- CF21 Investment Adviser (17 Feb 2003 to 10 Oct 2003)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

BBS FIinancial Planning Limited (no longer appointed)
FRN 222797 · Appointed 12 Feb 2003 · Until 5 Jun 2003

Recent activity

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

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.