Charteris Treasury Portfolio Managers Limited

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

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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
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- · 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
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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, 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
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- · 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
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- · 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.

John Keith Collie
IRN JKC00003
- CF23 Corporate Finance Adviser (28 Aug 2003 to 7 Jun 2005)
- CF21 Investment Adviser (28 Aug 2003 to 7 Jun 2005)
John Norton Williamson
IRN JNW01038
- CF10 Compliance Oversight (22 May 2006 to 7 Aug 2006)
- CF11 Money Laundering Reporting (22 May 2006 to 7 Aug 2006)
Jonathan Jeremy Creighton Morris
IRN JJM01104
- CF21 Investment Adviser (8 Sep 2004 to 30 Sep 2005)
- CF27 Investment Management (8 Sep 2004 to 30 Sep 2005)
Jonathan Morgan
IRN JXM00555
- 14. Managing investments
- [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
- CF30 Customer (1 Aug 2016 to 8 Dec 2019)
Julian Garewal
IRN JXG00015
- CF11 Money Laundering Reporting (1 Dec 2001 to 20 Dec 2004)
- CF10 Compliance Oversight (1 Dec 2001 to 20 Dec 2004)
- CF1 Director (1 Dec 2001 to 20 Dec 2004)
Karen Marie Thornley
IRN KMR00012
- CF21 Investment Adviser (1 Dec 2001 to 8 Feb 2002)
Liam Ronan Michael O'Houlihan
IRN LRO01010
- CF30 Customer (1 May 2014 to 22 Jan 2015)
Marion Helen Williams
IRN MHW01051
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF11 Money Laundering Reporting (13 Jul 2010 to 8 Dec 2019)
- CF10 Compliance Oversight (13 Jul 2010 to 8 Dec 2019)
- CF1 Director (31 Mar 2009 to 8 Dec 2019)
Mark Robert Williams
IRN MRW01177
- CF30 Customer (7 Nov 2008 to 8 Dec 2019)
Martyn Henley-Roussel
IRN MXH01891
- CF30 Customer (1 Nov 2007 to 9 Jan 2009)
- CF27 Investment Management (20 Jun 2006 to 31 Oct 2007)
- CF21 Investment Adviser (20 Jun 2006 to 31 Oct 2007)
- CF1 Director (20 Jun 2006 to 9 Jan 2009)

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.