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
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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.
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.

Kenneth James
IRN KXJ01219
- CF2 Non Executive Director (20 Jan 2012 to 13 Nov 2014)
Kimball David Bertrand Morrison
IRN KDM01013
- CF30 Customer (1 Nov 2007 to 15 Apr 2010)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Martin James Armitage-Smith
IRN MJA01095
- CF29 Significant management (10 Jul 2008 to 30 May 2011)
- CF30 Customer (10 Jul 2008 to 30 May 2011)
Mary Catherine Claydon
IRN MCC01051
- CF30 Customer (17 Feb 2009 to 6 Jun 2011)
Michael Patrick Lambert
IRN MPL01032
- CF27 Investment Management (1 Dec 2001 to 19 Mar 2005)
- CF21 Investment Adviser (1 Dec 2001 to 19 Mar 2005)
Michael Robinson
IRN MXR01995
- CF2 Non Executive Director (30 Sep 2011 to 8 Dec 2019)
Nicholas Harvey Glinsman
IRN NHG01009
- CF30 Customer (29 Jul 2009 to 15 Apr 2010)
Nigel Horsfield
IRN NXH01231
- CF30 Customer (1 Nov 2007 to 1 Nov 2007)
- CF21 Investment Adviser (21 Aug 2007 to 31 Oct 2007)
- CF27 Investment Management (21 Aug 2007 to 31 Oct 2007)
Paul Christie
IRN PXC01829
- CF30 Customer (22 Jan 2009 to 31 May 2011)
Renault Otto Kay
IRN ROK01003
- CF30 Customer (9 Apr 2010 to 31 May 2011)

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.