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

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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 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.

• Johnathon Louis Rivers

  IRN JLR01083

  • [FCA CF] Client dealing (15 Feb 2021 to 6 Feb 2026)
  • [FCA CF] Functions requiring qualifications (15 Feb 2021 to 6 Feb 2026)
• Jonathan William Askew Woodall

  IRN JWW01048

  • CF30 Customer (1 Nov 2007 to 3 Apr 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Kateryna Tatarenko

  IRN KXT01199

  • CF27 Investment Management (1 Jul 2004 to 7 Apr 2005)
  • CF22 Investment Adviser (Trainee) (1 Jul 2004 to 7 Apr 2005)
• Katharine Emma Dwyer

  IRN KED01010

  • CF22 Investment Adviser (Trainee) (5 Sep 2003 to 27 Nov 2004)
  • CF27 Investment Management (5 Sep 2003 to 27 Nov 2004)
• Mark Justin Wells Rushton

  IRN MJR01182

  • SMF3 Executive Director (since 4 Mar 2022)
• Mark Lloyd Godwin

  IRN MLG01030

  • CF30 Customer (19 Apr 2010 to 20 Feb 2012)
• Mark Palmer

  IRN MXP00355

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Oct 2024)
• Martin Trevor Sheppard

  IRN MTS01037

  • CF30 Customer (1 Nov 2007 to 28 Dec 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Matthew John Alan Groom

  IRN MJG01143

  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (19 Jan 2014 to 8 Dec 2019)
• Michael Edward Ware

  IRN MEW01053

  • CF30 Customer (1 Nov 2007 to 1 Dec 2008)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

• 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.