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.

• Peter Halligan

  IRN PXH01244

  • CF26 Customer Trading (1 Dec 2001 to 13 Dec 2006)
  • CF27 Investment Management (1 Dec 2001 to 13 Dec 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 13 Dec 2006)
• Peter Mann

  IRN PXM00249

  • SMF9 Chair of the Governing Body (since 26 Feb 2025)
  • Director of firm who is not a certification employee or a SMF manager (4 Aug 2023 to 26 Feb 2025)
• Philip James Peter Woolliscroft

  IRN PJW01124

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Dec 2023)
  • SMF16 Compliance Oversight (since 14 Dec 2023)
• Rajesh Bhatia

  IRN RXB01586

  • CF2 Non Executive Director (5 Feb 2018 to 8 Dec 2019)
• Richard Hallett

  IRN RXH02241

  • SMF3 Executive Director (9 Dec 2019 to 11 Apr 2023)
  • CF1 Director (23 Jan 2017 to 8 Dec 2019)
• Richard John Hines

  IRN RJH01283

  • CF21 Investment Adviser (2 Jun 2005 to 13 Jan 2006)
  • CF26 Customer Trading (2 Jun 2005 to 13 Jan 2006)
  • CF27 Investment Management (2 Jun 2005 to 13 Jan 2006)
• Richard Philip Jones

  IRN RPJ01027

  • CF1 Director (3 Aug 2012 to 8 Feb 2017)
  • CF3 Chief Executive (3 Aug 2012 to 8 Feb 2017)
• Ritesh Anand

  IRN RXA02173

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 20 Sep 2021)
  • CF30 Customer (2 Mar 2017 to 8 Dec 2019)
• Roberts Latvis Grava

  IRN RXG00008

  • SMF3 Executive Director (since 29 Jan 2024)
  • SMF1 Chief Executive (since 14 Nov 2020)
• Robin Hugh Woodall

  IRN RHW01016

  • CF30 Customer (19 Jun 2008 to 8 Dec 2019)

No changes recorded yet.