Grosvenor Financial Asset Management Limited

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FRN: 451634
Date authorised: 1 April 2013
Companies House: 04691505
Last scraped: 2 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

30 Churchill Place

London

Tower Hamlets

E14 5RE

UNITED KINGDOM

Phone

+4402079359998

Web

http://www.grosvenor-financial.com
Complaints Contact

30 Churchill Place

London

Tower Hamlets

E14 5RE

UNITED KINGDOM

Phone

+4402079359998

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, 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, 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, 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, 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.
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, 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 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, 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.

Peter E. Baker
IRN PEB01105
- CF1 Director (AR) (3 Mar 2010 to 2 Dec 2011)
- CF30 Customer (3 Mar 2010 to 2 Dec 2011)
Philip Keith Faulkner
IRN PKF01008
- CF30 Customer (10 Mar 2008 to 5 Feb 2009)
Robert Coyne
IRN RXC01795
- CF30 Customer (25 Oct 2010 to 8 Jul 2016)
- CF1 Director (AR) (25 Oct 2010 to 23 Mar 2012)
Singanallur Ramakrishnan Narayanan
IRN SRN01029
- CF1 Director (AR) (14 Dec 2010 to 5 Apr 2011)
- CF30 Customer (14 Dec 2010 to 5 Apr 2011)
Stephen Grant
IRN SXG01777
- CF1 Director (AR) (4 Apr 2011 to 23 Mar 2012)
- CF30 Customer (4 Apr 2011 to 8 Nov 2013)
Sunita Srivastava
IRN SXS02014
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (12 Jan 2007 to 31 Oct 2007)
- CF8 Apportionment and Oversight (13 Nov 2006 to 31 Oct 2007)
- CF27 Investment Management (13 Nov 2006 to 31 Oct 2007)
- CF11 Money Laundering Reporting (13 Nov 2006 to 8 Dec 2019)
- CF10 Compliance Oversight (13 Nov 2006 to 8 Dec 2019)
- CF1 Director (13 Nov 2006 to 8 Dec 2019)
- CF3 Chief Executive (13 Nov 2006 to 8 Dec 2019)
Zachary Smith
IRN ZXS01125
- CF30 Customer (13 Jan 2017 to 10 Jan 2018)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Market Trend Investments Limited (no longer appointed)
FRN 553768 · Appointed 17 Jun 2011 · Until 23 Mar 2012
Leeds Capital Limited (no longer appointed)
FRN 539778 · Appointed 20 Jan 2011 · Until 26 Mar 2012
Kuberan Capital Ltd (no longer appointed)
FRN 537214 · Appointed 7 Dec 2010 · Until 23 Mar 2012
Brick Lane Asset Management Ltd (no longer appointed)
FRN 533511 · Appointed 14 Oct 2010 · Until 23 Mar 2012
West Shore Capital Limited (no longer appointed)
FRN 526655 · Appointed 28 Jun 2010 · Until 9 Jan 2012
Qualpoint Capital Ltd (no longer appointed)
FRN 518791 · Appointed 26 Feb 2010 · Until 2 Dec 2011
Allegra Asset Management Ltd (no longer appointed)
FRN 516703 · Appointed 25 Jan 2010 · Until 31 May 2011
St Honore Asset Management Limited (no longer appointed)
FRN 506583 · Appointed 7 Sep 2009 · Until 23 Mar 2012
Aether Capital Investments Ltd (no longer appointed)
FRN 495452 · Appointed 26 Jan 2009 · Until 23 Mar 2012
Kensington Global Management Ltd (no longer appointed)
FRN 494374 · Appointed 9 Jan 2009 · Until 2 Dec 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.