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.

• Francis Ian Sumner

  IRN FIS01003

  • CF2 Non Executive Director (1 Dec 2001 to 27 Mar 2007)
• Garry John Hopcroft

  IRN GJH01186

  • CF2 Non Executive Director (29 Sep 2011 to 25 Mar 2013)
• Genevieve Rose

  IRN GXR01646

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 4 Mar 2020)
  • CF11 Money Laundering Reporting (5 Nov 2018 to 8 Dec 2019)
• George Ian Morrison

  IRN GIM01015

  • CF3 Chief Executive (5 Nov 2008 to 16 Sep 2011)
  • CF1 Director (5 Nov 2008 to 16 Sep 2011)
• Graham Ronald Godley

  IRN GXG01155

  • CF8 Apportionment and Oversight (11 Jul 2007 to 31 Oct 2007)
  • CF3 Chief Executive (1 Jul 2007 to 1 Nov 2008)
  • CF1 Director (1 Jul 2007 to 1 Nov 2008)
• Ian Clive Marshall

  IRN ICM01028

  • CF26 Customer Trading (1 Dec 2001 to 16 Sep 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 16 Sep 2004)
  • CF27 Investment Management (1 Dec 2001 to 16 Sep 2004)
• James Olanrewaju Ilori

  IRN JOI01005

  • CF30 Customer (25 Jul 2011 to 29 Jul 2014)
• Jennifer Johnson-Calari

  IRN JXJ08376

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (13 Dec 2018 to 8 Dec 2019)
• Jeremy George Arthur Charles

  IRN JGC01043

  • CF30 Customer (1 Nov 2007 to 2 Nov 2007)
  • CF26 Customer Trading (1 May 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (1 May 2007 to 31 Oct 2007)
  • CF27 Investment Management (1 May 2007 to 31 Oct 2007)
• Jeremy Parrish

  IRN JXP01882

  • SMF9 Chair of the Governing Body (9 Dec 2019 to 11 Apr 2023)
  • CF2 Non Executive Director (9 May 2017 to 8 Dec 2019)

No changes recorded yet.