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.

• Stuart James Fox

  IRN SJF01219

  • CF30 Customer (24 May 2010 to 21 Dec 2012)
• Thomas Anthony O'Dwyer

  IRN TAO00008

  • CF30 Customer (1 Nov 2007 to 1 Jun 2009)
  • CF27 Investment Management (8 Mar 2007 to 31 Oct 2007)
• Thomas Frank Morris

  IRN TFM01031

  • CF30 Customer (7 Jul 2014 to 6 Aug 2015)
• Tom Waters

  IRN TXW00330

  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 1 Mar 2024)
  • [FCA CF] Functions requiring qualifications (since 1 Mar 2024)
• Tracy Coghill

  IRN TXC01446

  • CF10 Compliance Oversight (14 May 2012 to 30 Sep 2013)
  • CF11 Money Laundering Reporting (14 May 2012 to 30 Sep 2013)
  • CF1 Director (14 May 2012 to 30 Sep 2013)
• Victor Anthony Skulicz

  IRN VAS01016

  • CF30 Customer (1 Nov 2007 to 6 Apr 2010)
  • CF21 Investment Adviser (1 Mar 2005 to 31 Oct 2007)
  • CF27 Investment Management (1 Mar 2005 to 31 Oct 2007)
• Vivian David Lester Coghill

  IRN VDC01003

  • CF30 Customer (7 Feb 2011 to 29 May 2012)
  • Responsible for Insurance Mediation (14 Jan 2005 to 29 May 2012)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 23 Apr 2012)
  • CF10 Compliance Oversight (1 Dec 2001 to 23 Apr 2012)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 29 May 2012)

• 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.