City Asset Management Plc

• Principal Place of Business

  City Asset Management plc

  7-11 Bishopsgate

  London

  City Of London

  EC2N 3AR

  UNITED KINGDOM

  Phone

  +4402073242920

  Web

  https://www.city-asset.co.uk

• Complaints Contact

  City Asset Management plc

  7-11 Bishopsgate

  London

  City Of London

  EC2N 3AR

  UNITED KINGDOM

  Phone

  +442073242920

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

  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 Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Limited to independent intermediary activities and in carrying on such activities to the specified investments ”share" (only if in connection with an investment trust savings scheme), "unit", "stakeholder pension scheme", right to or interest in investments - security", (when the latter is associated with these specified investments), "life policy", and "right to or interest in investments - contractually based investment", (when the latter is associated with these specified investments).
  • · 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 advisory-only activities.
  • · Limited to activities carried on as a broker fund adviser.

• 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 Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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), Share, Stakeholder pension scheme, Unit, Warrant

  Show 3 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 dealing-only activities.

• Arranges Asset Safekeeping

  For 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), Share, 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Stockbroking

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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), Share, 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.

• Consumer Loans

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  • · Limited to lending where no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement

• Loan Servicing

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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), Share, Stakeholder pension scheme, Unit, Warrant

  Show 3 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 transaction-only activities.

• Manages Your Portfolio

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

• Garry Patrick Anthony Diver

  IRN GPD01048

  • CF29 Significant management (1 Nov 2007 to 1 Apr 2009)
  • CF17 Significant Mgt (Other Business Operations) (13 Jul 2007 to 31 Oct 2007)
• George Andrew Alexander

  IRN GAA01019

  • CF30 Customer (1 Nov 2007 to 30 Nov 2010)
  • CF21 Investment Adviser (5 Jan 2004 to 31 Oct 2007)
  • CF27 Investment Management (5 Jan 2004 to 31 Oct 2007)
• Harry James Ford

  IRN HJF00004

  • CF30 Customer (1 Nov 2007 to 5 Apr 2013)
  • CF24 Pension Transfer Specialist (1 Jan 2006 to 31 Oct 2007)
  • CF1 Director (AR) (1 Jan 2006 to 5 Apr 2013)
  • CF21 Investment Adviser (1 Jan 2006 to 31 Oct 2007)
• Helen Eileen Angove

  IRN HEA01002

  • CF30 Customer (1 Nov 2007 to 10 Sep 2015)
  • CF1 Director (30 May 2007 to 9 Apr 2013)
  • CF27 Investment Management (18 Jun 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (18 Jun 2003 to 31 Oct 2007)
• Henrietta Manners Grimston

  IRN HMG01021

  • CF30 Customer (29 Jul 2013 to 6 Sep 2013)
• Hilary Anne Coghill

  IRN HAC01009

  • [FCA CF] Material risk taker (since 1 Mar 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Mar 2024)
  • SMF3 Executive Director (9 Dec 2019 to 31 Oct 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Mar 2024)
  • CF30 Customer (7 Feb 2011 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Ilze Du Preez

  IRN IXK01112

  • CF30 Customer (1 Nov 2007 to 12 Apr 2013)
  • CF22 Investment Adviser (Trainee) (20 Jun 2005 to 31 Oct 2007)
• James Douglas Calder

  IRN JDC01101

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (14 May 2010 to 8 Dec 2019)
  • CF29 Significant management (21 Sep 2009 to 5 Mar 2012)
  • CF1 Director (21 Sep 2009 to 8 Dec 2019)
• James Martin

  IRN JXM03682

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (17 Dec 2015 to 8 Dec 2019)
• James Regan

  IRN JXR11078

  • CF30 Customer (14 Feb 2019 to 8 Dec 2019)

• Temple Private Wealth Limited (no longer appointed)

  FRN 574952 · Appointed 13 Feb 2012 · Until 22 Oct 2012

• Ford Reynolds & Associates Limited (no longer appointed)

  FRN 190846 · Appointed 29 Nov 2005 · Until 5 Apr 2013

• Jonathan William Askew Woodall (no longer appointed)

  FRN 205623 · Appointed 12 Dec 1996 · Until 1 Jun 2004

No changes recorded yet.