Franklin Templeton Fund Management Limited

• Principal Place of Business

  Cannon Place

  78 Cannon Street

  London

  City Of London

  EC4N 6HL

  UNITED KINGDOM

  Phone

  +4402070738500

  Web

  https://www.franklintempleton.co.uk

• Complaints Contact

  Cannon Place

  78 Cannon Street

  London

  City Of London

  EC4N 6HL

  UNITED KINGDOM

  Phone

  +442070738500

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Rights to or interests in investments (Security), Unit

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Limited to authorised unit trust scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• 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, Retail (Investment), Certificates representing certain security, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 9 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 authorised unit trust scheme share exchange activities and in carrying on such activities to the specified investments listed other than all contractually based investments.
  • · Limited to authorised unit trust scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to managing segregated portfolios.
  • · Limited to authorised unit trust operations and in carrying on these operations, to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer type "retail client".
  • · Limited to authorised unit trust scheme operations and in carrying on such activities to the specified investments listed other than "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "commodity future", "life policy", "funeral plan contract", and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments), for the customer type "retail client".
  • · Limited to Investment Company with Variable Capital share exchange activities and in carrying on such activities to the specified investments listed other than contractually based investments.
  • · Limited to Investment Company with Variable Capital activities and in carrying on such activities, to the specified activities listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "comm.odity future", "life policy", "funeral plan contract" and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments) for the customer type "retail client".

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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, Retail (Investment), Certificates representing certain security, 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 6 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 managing segregated portfolios.
  • · Limited to authorised unit trust operations and in carrying on these operations, to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer type "retail client".
  • · Limited to authorised unit trust scheme operations and in carrying on such activities to the specified investments listed other than "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "commodity future", "life policy", "funeral plan contract", and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments), for the customer type "retail client".
  • · Limited to Investment Company with Variable Capital activities and in carrying on such activities, to the specified activities listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "comm.odity future", "life policy", "funeral plan contract" and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments) for the customer type "retail client".

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Unit

  Show 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to authorised unit trust box management operations and in carrying on such activities to the specified investments "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Limited to ICVC box management activities and in carrying on such activities to the specified investments, "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot f orex contract) and rights to or interests in investments - contractually based investments", (when the later is associated with these specified investments).

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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 7 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 authorised unit trust scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to managing segregated portfolios.
  • · Limited to authorised unit trust operations and in carrying on these operations, to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer type "retail client".
  • · Limited to authorised unit trust scheme operations and in carrying on such activities to the specified investments listed other than "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "commodity future", "life policy", "funeral plan contract", and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments), for the customer type "retail client".
  • · Limited to Investment Company with Variable Capital activities and in carrying on such activities, to the specified activities listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "comm.odity future", "life policy", "funeral plan contract" and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments) for the customer type "retail client".

• Retail Investment Funds

• Specialist Investment Funds

• Manages Your Portfolio

  For Professional, Retail (Investment), 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 6 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 managing segregated portfolios.
  • · Limited to authorised unit trust operations and in carrying on these operations, to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer type "retail client".
  • · Limited to authorised unit trust scheme operations and in carrying on such activities to the specified investments listed other than "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "commodity future", "life policy", "funeral plan contract", and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments), for the customer type "retail client".
  • · Limited to Investment Company with Variable Capital activities and in carrying on such activities, to the specified activities listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "comm.odity future", "life policy", "funeral plan contract" and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments) for the customer type "retail client".

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Charles Latimer Fuller

  IRN CXF00061

  • [FCA CF] Material risk taker (since 9 Dec 2019)
• Charles Robert Lister

  IRN CRL01026

  • CF2 Non Executive Director (24 Feb 2010 to 18 Jan 2011)
• Christopher George Clarke

  IRN CGC01042

  • CF2 Non Executive Director (8 Feb 2010 to 18 Jan 2011)
• Colin Morton

  IRN CXM01244

  • [FCA CF] Manager of certification employee (22 Dec 2021 to 31 Jan 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Jan 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (26 Jul 2006 to 8 Oct 2012)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Courtney Myles Westcarr

  IRN CMW01177

  • [FCA CF] Client dealing (22 Oct 2021 to 31 Jan 2022)
  • [FCA CF] Functions requiring qualifications (22 Oct 2021 to 31 Jan 2022)
• Daniel Robert Green

  IRN DRG01130

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2022)
  • CF30 Customer (9 May 2016 to 8 Dec 2019)
• Darren Leslie Cotter

  IRN DLC01066

  • CF30 Customer (19 Jan 2011 to 31 Mar 2014)
• David Hugh Charles Brigstocke

  IRN DHB01089

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (3 Oct 2019 to 8 Dec 2019)
• David Laurence Acfield

  IRN DLA01013

  • CF8 Apportionment and Oversight (1 Dec 2002 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2002 to 18 Jan 2011)
  • CF1 Director (1 Dec 2001 to 18 Jan 2011)
• David Stitcher

  IRN DXS01273

  • CF11 Money Laundering Reporting (1 Dec 2001 to 30 Sep 2006)
  • CF10 Compliance Oversight (1 Dec 2001 to 30 Sep 2006)

No changes recorded yet.