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.

• Michael John Trillwood

  IRN MJT01129

  • CF10a CASS Oversight function (1 Oct 2011 to 19 Jun 2015)
  • CF1 Director (1 Dec 2001 to 19 Jun 2015)
• Michael Peter Hewitt

  IRN MPH01125

  • CF30 Customer (17 Jan 2008 to 24 Dec 2010)
• Michael Philip Paul

  IRN MXP02137

  • CF30 Customer (5 Feb 2013 to 28 Mar 2014)
• Michael Reginald Robert Fitzhugh

  IRN MRF01021

  • 14. Managing investments
  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (9 Dec 2019 to 31 Oct 2022)
  • CF1 Director (15 Apr 2013 to 8 Dec 2019)
  • CF30 Customer (1 Jul 2010 to 8 Dec 2019)
• Mike Sharp

  IRN MXS00580

  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Feb 2023)
• Nicholas Mark Coghill

  IRN NMC01039

  • SMF9 Chair of the Governing Body (since 27 Apr 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF1 Director (6 Jun 2012 to 8 Dec 2019)
  • CF3 Chief Executive (6 Jun 2012 to 8 Dec 2019)
  • CF30 Customer (6 Jun 2012 to 21 Jun 2012)
  • Responsible for Insurance Mediation (6 Jun 2012 to 30 Sep 2018)
• Nigel Brett Rawlings

  IRN NBR01006

  • CF30 Customer (1 Nov 2007 to 30 Nov 2010)
  • CF27 Investment Management (1 Jun 2003 to 31 Oct 2007)
• Patsy Anang

  IRN PXA00144

  • [FCA CF] Material risk taker (since 9 Dec 2019)
• Paul Fox

  IRN PXF01129

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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] Functions requiring qualifications (since 8 Apr 2022)
  • [FCA CF] Client dealing (since 8 Apr 2022)
• Paul Mason Howells

  IRN PMH01058

  • CF30 Customer (1 Nov 2007 to 30 Nov 2010)
  • CF21 Investment Adviser (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.