ELM CAPITAL ASSOCIATES LIMITED

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FRN: 401953
Date authorised: 1 April 2013
Companies House: 05131113
Last scraped: 2 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

Southwest House

11A Regent Street

London

SW1Y 4LR

UNITED KINGDOM

Phone

+4402079018940

Web

https://www.elmcapital.com
Complaints Contact

Southwest House

11A Regent Street

London

SW1Y 4LR

UNITED KINGDOM

Phone

+4402079018940

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, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant
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- · 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, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant
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- · 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.
Investment Setup

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant
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- · 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.

Approved individuals

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

Timothy Youdeowei
IRN TXY01117
- CF30 Customer (16 Jun 2015 to 4 Oct 2019)
Tom Geoffrey Calcutt Lewis
IRN TGL01025
- CF30 Customer (9 Nov 2015 to 29 Nov 2019)
Zhi Ping Qi
IRN ZPQ01000
- CF30 Customer (4 Jan 2012 to 10 Jan 2012)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

ELM CAPITAL USA LIMITED
FRN 538066 · Appointed 21 Dec 2010

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.