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.

• Paul Stefan Zoltowski

  IRN PSZ01004

  • CF1 Director (AR) (18 Jul 2012 to 22 Oct 2012)
  • CF30 Customer (20 Feb 2012 to 22 Oct 2012)
• Rachel John-Charles

  IRN RXJ00125

  • [FCA CF] Material risk taker (since 9 Dec 2019)
• Railene Waters

  IRN RXW00265

  • [FCA CF] Material risk taker (9 Dec 2019 to 4 Apr 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 4 Apr 2023)
• Rebecca Ann Fifield

  IRN RAF01149

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF10a CASS Oversight function (16 Jun 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (4 Nov 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (4 Nov 2014 to 8 Dec 2019)
  • CF1 Director (4 Nov 2014 to 8 Dec 2019)
• Richard John Roger Millican Henderson

  IRN RXH00088

  • CF30 Customer (1 Nov 2007 to 30 Dec 2007)
  • CF24 Pension Transfer Specialist (16 Oct 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (9 Aug 2004 to 31 Oct 2007)
  • CF27 Investment Management (9 Aug 2004 to 31 Oct 2007)
• Robert Victor Gerhardt

  IRN RVG00002

  • CF21 Investment Adviser (1 Dec 2001 to 17 Feb 2004)
• Robin Charles Blunden

  IRN RCB01082

  • CF2 Non Executive Director (13 Jul 2016 to 8 Dec 2019)
• Robin Michael Joyner

  IRN RMJ01021

  • CF30 Customer (1 Nov 2007 to 29 May 2015)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Sandra Hoyland

  IRN SVR01004

  • CF29 Significant management (6 Oct 2009 to 12 Mar 2012)
  • CF30 Customer (1 Nov 2007 to 30 Dec 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Stephen Ford

  IRN SNF01007

  • CF1 Director (28 Feb 2017 to 17 Dec 2018)
  • CF30 Customer (20 Sep 2016 to 31 Dec 2018)

• 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.