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.

• Simon David Westlake

  IRN SDW01060

  • [FCA CF] Client dealing (since 1 Aug 2020)
  • CF30 Customer (1 Dec 2008 to 8 Dec 2019)
• Sunil Bassi

  IRN SXB15085

  • [FCA CF] Material risk taker (since 1 Aug 2020)
  • [FCA CF] Significant management (1 Aug 2020 to 16 Sep 2024)
  • CF28 Systems and controls (16 Jul 2019 to 8 Dec 2019)
• Susannah Elizabeth Nicklin

  IRN SEN01009

  • CF2 Non Executive Director (1 Jul 2017 to 8 Dec 2019)
• Swee Nguan Koh

  IRN SNK01023

  • CF30 Customer (10 Aug 2010 to 22 Aug 2017)
• Tarang Kiritkumar Patel

  IRN TKP01010

  • [FCA CF] Client dealing (since 1 Aug 2020)
  • [FCA CF] Material risk taker (since 1 Aug 2020)
  • CF30 Customer (19 May 2008 to 8 Dec 2019)
• Thomas Wayne Griffith

  IRN TWG01013

  • SMF3 Executive Director (9 Dec 2019 to 6 Jun 2025)
  • SMF1 Chief Executive (9 Dec 2019 to 6 Jun 2025)
  • CF3 Chief Executive (1 Feb 2019 to 8 Dec 2019)
  • CF1 Director (23 Sep 2002 to 8 Dec 2019)
• Tim Kruis

  IRN TXK01330

  • CF30 Customer (1 Jun 2011 to 31 Oct 2013)
• Todd Fawaz

  IRN TXF00046

  • [FCA CF] Client dealing (since 14 Jul 2025)
  • [FCA CF] Manager of certification employee (since 14 Jul 2025)
  • [FCA CF] Material risk taker (since 1 Aug 2020)
• Tom Robert Dixon

  IRN TRD01016

  • CF30 Customer (1 Oct 2009 to 2 Aug 2013)
• Tracy Ann Rodrigues

  IRN TAR01069

  • CF1 Director (17 Nov 2015 to 30 Nov 2019)
  • CF28 Systems and controls (2 May 2013 to 16 Jul 2019)

• Gretchen Gale Romig (no longer appointed)

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

No changes recorded yet.