FUNDAMENTAL ASSET MANAGEMENT LIMITED

Date authorised
1 April 2013
Companies House
05089880
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Fundamental Asset Management Ltd
    Cardinal Point
    Park Road
    Rickmansworth
    Hertfordshire
    WD3 1RE
    UNITED KINGDOM
    Phone
    +4401923713890
    Web
    https://www.fundamentalasset.com

  • Complaints Contact

    Fundamental Asset Management Ltd
    Cardinal Point
    Park Road
    Rickmansworth
    Hertfordshire
    WD3 1RE
    UNITED KINGDOM
    Phone
    +4401923713890

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, 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

  • Authorised to Operate

    Show 1 limitation
    • · 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, 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

  • 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, 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

  • Stockbroking

    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, 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

  • Investment Setup

    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, 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

  • Manages Your Portfolio

    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, 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

Approved individuals

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

  • Andrew Ying Kit Chak

    IRN AYC01010

    • CF30 Customer (22 Mar 2010 to 28 Jan 2015)
  • Christopher Alfred Boxall

    IRN CAB01094

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF13 Finance (15 Jul 2004 to 31 Oct 2007)
    • CF27 Investment Management (15 Jul 2004 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (15 Jul 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (15 Jul 2004 to 8 Dec 2019)
    • CF1 Director (15 Jul 2004 to 8 Dec 2019)
    • CF3 Chief Executive (15 Jul 2004 to 8 Dec 2019)
  • Craig Reeves

    IRN CXR01110

    • CF30 Customer (14 Jan 2008 to 29 Dec 2008)
  • Dawn Walker-Bennett

    IRN DXW01291

    • CF30 Customer (30 Apr 2008 to 29 Dec 2008)
  • Ian Martin Du Feu

    IRN IMD01034

    • CF30 Customer (26 Jan 2009 to 28 Oct 2009)
    • Responsible for Insurance Mediation (26 Jan 2009 to 28 Oct 2009)
    • CF29 Significant management (26 Jan 2009 to 28 Oct 2009)
  • James Dominic Delaney

    IRN JDD00018

    • CF30 Customer (24 Jun 2013 to 24 Apr 2017)
  • Mark Kevork Dichlian

    IRN MKD01015

    • CF30 Customer (1 Nov 2007 to 30 Nov 2012)
    • CF21 Investment Adviser (16 Aug 2004 to 31 Oct 2007)
  • Nigel Beynon

    IRN NXB01124

    • CF30 Customer (20 Jun 2013 to 20 Feb 2014)
  • Stephen Arthur Drabwell

    IRN SAD01034

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 17. Administrative functions in relation to managing investments
    • 16. Safeguarding and administering investments or holding client money
    • 14. Managing investments
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (15 Jul 2004 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (15 Jul 2004 to 31 Oct 2007)
    • CF3 Chief Executive (15 Jul 2004 to 8 Dec 2019)
    • CF1 Director (15 Jul 2004 to 8 Dec 2019)
  • Timothy Robert Lewis Duke

    IRN TRD01024

    • CF29 Significant management (30 Sep 2009 to 28 Jan 2013)
    • CF30 Customer (30 Sep 2009 to 28 Jan 2013)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.