Crown Agents Investment Management Limited

• Principal Place of Business

  3 More London

  Riverside 3rd Floor

  London

  SE1 2AQ

  UNITED KINGDOM

  Phone

  +4402074897223

  Web

  https://www.caiml.co.uk

• Complaints Contact

  3 More London

  Riverside 3rd Floor

  London

  SE1 2AQ

  UNITED KINGDOM

  Phone

  +4402076181759

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Stakeholder pension scheme, 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 investment management activities for the specified customer types.
  • · Limited to advisory-only activities.
  • · Managing investments for Private Investors limited to Small Business Investors only.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Stakeholder pension scheme, 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 investment management activities for the specified customer types.
  • · Managing investments for Private Investors limited to Small Business Investors only.
  • · 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).

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Alternative Debenture, 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, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Stakeholder pension scheme, 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.
  • · Managing investments for Private Investors limited to Small Business Investors only.
  • · Limited to investment management activities for the specified customer types.

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Stakeholder pension scheme, 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 investment management activities for the specified customer types.
  • · Managing investments for Private Investors limited to Small Business Investors only.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Alternative Debenture, 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, 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.
  • · Managing investments for Private Investors limited to Small Business Investors only.

• Holds Your Assets

  For Eligible Counterparty, Professional, Alternative Debenture, 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, 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.

• Christopher Fraser

  IRN CXF01136

  • CF30 Customer (1 Nov 2007 to 31 Dec 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 16 Sep 2004)
  • CF26 Customer Trading (1 Dec 2001 to 16 Sep 2004)
  • CF27 Investment Management (1 Dec 2001 to 16 Sep 2004)
• Christopher John Richard Forage

  IRN CJF01119

  • CF30 Customer (1 Nov 2007 to 4 Sep 2012)
  • CF27 Investment Management (21 May 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (21 May 2007 to 31 Oct 2007)
• Christopher Raymond Wilgoss

  IRN CXW01471

  • CF30 Customer (5 Jun 2009 to 3 Feb 2016)
• Christopher William Green

  IRN CXG10657

  • SMF16 Compliance Oversight (9 Sep 2020 to 4 Apr 2023)
  • SMF3 Executive Director (9 Sep 2020 to 4 Apr 2023)
• David Alexander Thomas

  IRN DAT01131

  • Director of firm who is not a certification employee or a SMF manager (4 Aug 2023 to 7 Jan 2025)
• David Arthur Smithson

  IRN DAS01327

  • CF30 Customer (31 May 2011 to 3 Feb 2016)
• Dean Vincent D'Sa

  IRN DXD01327

  • CF30 Customer (1 Nov 2007 to 8 Oct 2010)
  • CF27 Investment Management (31 May 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (31 May 2007 to 31 Oct 2007)
  • CF26 Customer Trading (31 May 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (29 Aug 2006 to 31 May 2007)
• Douglas Davidson MacLennan

  IRN DDM01011

  • SMF3 Executive Director (9 Dec 2019 to 28 Feb 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 28 Feb 2020)
  • CF10 Compliance Oversight (6 Jun 2013 to 8 Dec 2019)
  • CF1 Director (6 Jun 2013 to 8 Dec 2019)
  • CF28 Systems and controls (6 Jun 2013 to 8 Dec 2019)
• Elizabeth Ann Jenner

  IRN EAJ01006

  • CF30 Customer (1 Nov 2007 to 9 Dec 2007)
  • CF26 Customer Trading (8 Apr 2004 to 31 Oct 2007)
  • CF27 Investment Management (8 Apr 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 29 Apr 2003)
• Ferdinand Van Heerden

  IRN FXV01058

  • SMF3 Executive Director (since 14 Jul 2023)

No changes recorded yet.