Consortium Investment Management LLP

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FRN: 466575
Date authorised: 1 April 2013
Companies House: OC327385
Last scraped: 2 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

1 Church Street

Amersham

HP7 0DB

UNITED KINGDOM

Phone

+4402074370200

Web

https://www.consortium-im.com
Complaints Contact

1 Church Street

Amersham

HP7 0DB

UNITED KINGDOM

Phone

+4402074370200

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

Investment Advice (no pensions)

For Eligible Counterparty, Professional, 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), 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), Share, Unit, Warrant
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- · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "debenture", "warrant", "certificate representing certain security", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on a commodity future)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
- · 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.
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, 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), 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), Share, Unit, Warrant
Show 4 limitations Hide limitations
- · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "debenture", "warrant", "certificate representing certain security", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on a commodity future)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
- · Limited to unregulated collective investment scheme share exchange operations and, in carrying on such operations to the specified investments listed other than, all contractually based investments.
- · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment listed and to the customer type"professional client".
- · 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, Eligible Counterparty, Professional, Retail (Non-Investment Insurance), Non-investment insurance contracts
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- · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment listed and to the customer type "professional client".
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Runs Investment Funds
Investment Setup

For Commercial, Eligible Counterparty, Professional, Retail (Non-Investment Insurance), 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), Non-investment insurance contracts, 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), Share, Unit, Warrant
Show 3 limitations Hide limitations
- · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "debenture", "warrant", "certificate representing certain security", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on a commodity future)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
- · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment listed and to the customer type "professional client".
- · 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.
Private Investment Funds

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

. Allsop LLP
IRN XXA01072
- CF4 Partner (1 May 2007 to 15 Mar 2017)
Alan Pascoe Collett
IRN APC01123
- CF30 Customer (1 Nov 2007 to 15 Nov 2012)
- CF4 Partner (1 May 2007 to 15 Nov 2012)
- CF21 Investment Adviser (1 May 2007 to 31 Oct 2007)
Alexander James Cooke
IRN AXC01976
- CF4 Partner (AR) (4 Jan 2013 to 16 Nov 2016)
- CF30 Customer (4 Jan 2013 to 16 Nov 2016)
Benedict Green
IRN BXG01096
- CF1 Director (AR) (10 May 2017 to 12 Jun 2020)
- CF30 Customer (10 May 2017 to 12 Jun 2020)
Benjamin David Hobbs
IRN BDH01022
- [FCA CF] Client dealing (since 11 Oct 2021)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsible for Insurance Mediation (1 Dec 2009 to 30 Sep 2018)
- CF11 Money Laundering Reporting (14 Sep 2009 to 15 Dec 2009)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF10 Compliance Oversight (1 May 2007 to 8 Dec 2019)
- CF21 Investment Adviser (1 May 2007 to 31 Oct 2007)
- CF4 Partner (1 May 2007 to 8 Dec 2019)
- CF8 Apportionment and Oversight (1 May 2007 to 31 Oct 2007)
David Eric Hammond
IRN DEH01049
- CF30 Customer (1 Nov 2007 to 17 Mar 2017)
- CF21 Investment Adviser (1 May 2007 to 31 Oct 2007)
- CF4 Partner (1 May 2007 to 17 Mar 2017)
Duncan James Kensington Moir
IRN DJM01416
- CF26 Customer Trading (1 May 2007 to 15 Jun 2007)
George Patrick Walker
IRN GPW01034
- CF26 Customer Trading (1 May 2007 to 15 Jun 2007)
Hugh Richard Saunders
IRN HRS01037
- [FCA CF] Client dealing (since 11 Oct 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- CF4 Partner (26 Jun 2012 to 8 Dec 2019)
- CF10a CASS Oversight function (1 Oct 2011 to 16 Nov 2016)
- CF11 Money Laundering Reporting (15 Dec 2009 to 8 Dec 2019)
Jonathan Edward Grier Davies
IRN JED01138
- [FCA CF] Client dealing (since 11 Oct 2021)
- SMF27 Partner (since 9 Dec 2019)
- CF4 Partner (25 Jun 2012 to 8 Dec 2019)
- CF30 Customer (25 Jun 2012 to 8 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Atrato Capital Limited (no longer appointed)
FRN 777587 · Appointed 27 Apr 2017 · Until 7 Dec 2021
Huntsman Capital Partners LLP (no longer appointed)
FRN 593257 · Appointed 20 Dec 2012 · Until 2 Dec 2016

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.