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

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  • · 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.

• Michael William Sugrue

  IRN MWS01056

  • [FCA CF] Manager of certification employee (since 1 Oct 2024)
  • [FCA CF] Material risk taker (since 1 Aug 2020)
  • [FCA CF] Client dealing (since 1 Aug 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (3 Jun 2004 to 31 Oct 2007)
• Niall Magee

  IRN NXM00162

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Jun 2023)
  • SMF16 Compliance Oversight (since 2 Jun 2023)
• Oliver Gerd Marschner

  IRN OGM01004

  • [FCA CF] Material risk taker (since 1 Aug 2020)
  • [FCA CF] Client dealing (since 1 Aug 2020)
  • [FCA CF] Manager of certification employee (since 1 Aug 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Apr 2005 to 31 Oct 2007)
• Pavle Gegaj

  IRN PXG00275

  • [FCA CF] Client dealing (since 25 Mar 2022)
  • [FCA CF] Material risk taker (since 25 Mar 2022)
• Peter Evan Roth

  IRN PXR13271

  • CF2 Non Executive Director (11 Jun 2019 to 8 Dec 2019)
• Peter Robert O'Sullivan

  IRN PRO01013

  • CF1 Director (1 Dec 2001 to 30 Nov 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 30 Nov 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 30 Nov 2007)
• Philip James Bagshaw

  IRN PXB00372

  • [FCA CF] Client dealing (since 1 Aug 2021)
  • [FCA CF] Material risk taker (since 1 Aug 2021)
• Rebecca Noel Lloyd

  IRN RXL00425

  • [FCA CF] Client dealing (since 12 Sep 2024)
• Rian Avery Arthur Dartnell

  IRN RAD01131

  • CF2 Non Executive Director (1 Jun 2011 to 30 Jun 2016)
• Sally Macdonald

  IRN SHM01025

  • CF30 Customer (6 Apr 2009 to 31 Oct 2011)

• Gretchen Gale Romig (no longer appointed)

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

No changes recorded yet.