Emergent Asset Management Limited

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FRN: 179392
Date authorised: 1 April 2013
Companies House: 03126825
Last scraped: 3 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

The Mill

Blackdown

Haslemere

Surrey

GU27 3BU

UNITED KINGDOM

Phone

+447802154988

Web

https://www.emergentasset.com
Complaints Contact

The Mill

Blackdown

Haslemere

GU27 3BU

UNITED KINGDOM

Phone

+447802154988

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

P2P Lending Advice

For Eligible Counterparty, Professional
Investment Advice (no pensions)

For Eligible Counterparty, Professional, 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, Spread Bet, 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, 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, Spread Bet, 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.
Arranges Asset Safekeeping

For Eligible Counterparty, Professional, 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, Spread Bet, 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, 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, Spread Bet, 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, 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, Spread Bet, 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.
Manages Your Portfolio

For Professional, 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, Spread Bet, 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.

Approved individuals

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

Aidyn Kussainov
IRN AXK01417
- CF30 Customer (1 Nov 2007 to 1 Nov 2007)
- CF27 Investment Management (19 Aug 2004 to 31 Oct 2007)
- CF21 Investment Adviser (19 Aug 2004 to 31 Oct 2007)
Alfred Merton Vinton
IRN AMV01011
- CF2 Non Executive Director (1 Dec 2001 to 30 Sep 2010)
Andrew Michael Pfaff
IRN AMP01189
- CF30 Customer (9 Apr 2010 to 31 May 2011)
David Paul Murrin
IRN DPM01063
- SMF16 Compliance Oversight (since 4 Nov 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Nov 2022)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF3 Chief Executive (10 Oct 2011 to 8 Dec 2019)
- CF29 Significant management (10 Oct 2011 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
- CF1 Director (1 Dec 2001 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Emmanuel Courdavault
IRN EXC01190
- CF29 Significant management (1 Nov 2007 to 21 Sep 2009)
- CF20 Significant Mgt (Settlements) (6 Oct 2004 to 31 Oct 2007)
Fergus William Murison
IRN FWM01009
- CF27 Investment Management (7 Oct 2002 to 5 Oct 2004)
- CF16 Significant Mgt (Desgntd Investment Business) (7 Oct 2002 to 5 Oct 2004)
Jane Elizabeth Lawson
IRN JEL01044
- CF30 Customer (1 Nov 2007 to 21 Mar 2008)
- CF21 Investment Adviser (21 Mar 2003 to 31 Oct 2007)
- CF10 Compliance Oversight (21 Mar 2003 to 21 Mar 2008)
- CF11 Money Laundering Reporting (21 Mar 2003 to 21 Mar 2008)
- CF27 Investment Management (21 Mar 2003 to 31 Oct 2007)
John Drew
IRN JXD02037
- CF2 Non Executive Director (7 Oct 2011 to 8 Dec 2011)
Jonathan Paul Jackson
IRN JPJ01040
- CF3 Chief Executive (AR) (5 Jun 2013 to 1 Sep 2014)
Ka Ming Ho
IRN KMH01067
- CF30 Customer (1 Nov 2007 to 13 Nov 2014)
- CF27 Investment Management (20 Jun 2006 to 31 Oct 2007)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Emergent Capital Partners Limited (no longer appointed)
FRN 716562 · Appointed 14 Sep 2015 · Until 11 May 2016
Richard Thwaites Limited (no longer appointed)
FRN 670579 · Appointed 9 Feb 2015 · Until 11 May 2016
Donald Iain Alasdair Mackinnon (no longer appointed)
FRN 606164 · Appointed 20 Aug 2013 · Until 11 May 2016
Lakestar Capital LLP (no longer appointed)
FRN 601034 · Appointed 15 May 2013 · Until 11 May 2016
Claydon Advisors Ltd (no longer appointed)
FRN 499871 · Appointed 23 Apr 2009 · Until 6 Jun 2011

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.