City of London Investment Management Company Limited

• Principal Place of Business

  City Of London Investment Group plc

  77 Gracechurch Street

  London

  City Of London

  EC3V 0AS

  UNITED KINGDOM

  Phone

  +4402077111568

  Web

  https://www.citlon.com

• Complaints Contact

  City Of London Investment Group plc

  77 Gracechurch Street

  London

  City Of London

  EC3V 0AS

  UNITED KINGDOM

  Phone

  +4402077111568

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 4 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 recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• 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 Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 5 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 sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · Limited to recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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 investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 4 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 recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Jeremy Stephen William Bannister

  IRN JSB01188

  • CF1 Director (15 May 2008 to 13 Sep 2010)
• Juan Martin Garzaron

  IRN JMG01162

  • CF30 Customer (1 Nov 2007 to 24 Mar 2016)
  • CF1 Director (27 Jul 2005 to 13 Sep 2010)
  • CF27 Investment Management (3 Jun 2004 to 31 Oct 2007)
• Kevin Michael Tolan

  IRN KMT01034

  • CF10 Compliance Oversight (27 Sep 2010 to 14 Apr 2016)
  • CF11 Money Laundering Reporting (27 Sep 2010 to 14 Apr 2016)
• Ludmila Dean

  IRN LXD01287

  • CF30 Customer (2 Oct 2008 to 31 May 2013)
• Lynn Christine Ruddick

  IRN LCR01014

  • CF2 Non Executive Director (16 Feb 2012 to 28 Feb 2013)
• Mark Dominic Dwyer

  IRN MDD01044

  • [FCA CF] Material risk taker (1 Jan 2024 to 30 Jun 2024)
  • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2023)
  • CF1 Director (19 Nov 2015 to 8 Dec 2019)
  • CF30 Customer (16 Apr 2012 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 15 Jul 2003)
• Mark John Driver

  IRN MJD01158

  • CF2 Non Executive Director (17 Aug 2016 to 30 Jun 2019)
• Matthew Szoke

  IRN MXS05140

  • [FCA CF] Material risk taker (since 16 Sep 2024)
• Michael Adrian Edmonds

  IRN MAE01102

  • SMF3 Executive Director (since 15 Sep 2025)
  • [FCA CF] Significant management (since 1 Jul 2025)
  • [FCA CF] Manager of certification employee (since 1 Aug 2020)
  • [FCA CF] Client dealing (since 1 Aug 2020)
  • [FCA CF] Material risk taker (since 1 Aug 2020)
  • CF30 Customer (1 Jul 2009 to 8 Dec 2019)
• Michael Elliot Russell

  IRN MER01049

  • CF1 Director (1 Dec 2001 to 13 Sep 2010)

• Gretchen Gale Romig (no longer appointed)

  FRN 471771 · Appointed 16 Aug 2007 · Until 14 Feb 2017

No changes recorded yet.