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.

• Roger Peter Hanly

  IRN RXH01373

  • CF10a CASS Oversight function (25 Sep 2013 to 31 Jul 2018)
  • CF1 Director (25 Sep 2013 to 31 Jul 2018)
• Sidney Judge

  IRN SXJ01104

  • CF26 Customer Trading (1 Dec 2001 to 26 May 2007)
  • CF27 Investment Management (1 Dec 2001 to 26 May 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 26 May 2007)
• Simon Hilliard Poole

  IRN SHP01040

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 Mar 2023)
  • CF2 Non Executive Director (31 Mar 2016 to 8 Dec 2019)
• Simon Michael Price

  IRN SMP01066

  • [FCA CF] Client dealing (since 23 Apr 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 23 Apr 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Slawomir Soroczynski

  IRN SXS01793

  • [FCA CF] Client dealing (since 23 Apr 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 23 Apr 2024)
  • CF30 Customer (16 Nov 2007 to 8 Dec 2019)
• Stephen Charles Hollingdale

  IRN SCH01063

  • CF10a CASS Oversight function (1 Oct 2011 to 21 Mar 2013)
  • CF28 Systems and controls (1 Nov 2007 to 21 Mar 2013)
  • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 15 Mar 2010)
  • CF10 Compliance Oversight (1 Dec 2001 to 21 Mar 2013)
• Stephen Edward Wiltshire

  IRN SEW01058

  • CF2 Non Executive Director (24 Jun 2011 to 21 Oct 2017)
• Steven James Smith

  IRN SXS07005

  • CF10a CASS Oversight function (20 Nov 2018 to 8 Dec 2019)
• Terence Jagger

  IRN TXJ01141

  • CF2 Non Executive Director (16 Mar 2011 to 1 Oct 2014)
• Terry Hensman

  IRN TXH01366

  • CF11 Money Laundering Reporting (15 Mar 2010 to 14 Oct 2015)

No changes recorded yet.