GuardCap Asset Management Limited

• Principal Place of Business

  6th Floor

  11 Charles II Street

  St. James's

  London

  SW1Y 4NS

  UNITED KINGDOM

  Phone

  +442079072400

  Web

  https://www.guardcap.co.uk

• Complaints Contact

  6th Floor

  11 Charles II Street

  St. James's

  London

  SW1Y 4NS

  UNITED KINGDOM

  Phone

  +442079072400

• 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

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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.

• 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, 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.

• Alexandra Schwarz

  IRN AXS00592

  • [FCA CF] Client dealing (9 Dec 2019 to 19 Apr 2024)
• Arieta Koshutova

  IRN AXK02693

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (2 Jul 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Jul 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (2 Jul 2015 to 8 Dec 2019)
• Bojana Bidovec Kumar

  IRN BXB01768

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (30 Jun 2016 to 8 Dec 2019)
• Brian Peter Matthews

  IRN BPM01027

  • CF11 Money Laundering Reporting (16 Sep 2003 to 31 May 2015)
  • CF10 Compliance Oversight (16 Sep 2003 to 31 May 2015)
  • CF1 Director (16 Sep 2003 to 31 May 2015)
• Clive Graham Lloyd

  IRN CGL01007

  • CF28 Systems and controls (1 Nov 2007 to 5 Mar 2014)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (16 Sep 2003 to 31 Oct 2007)
  • CF14 Risk Assessment (16 Sep 2003 to 31 Oct 2007)
  • CF13 Finance (16 Sep 2003 to 31 Oct 2007)
• David William James Garrett

  IRN DWG01036

  • CF1 Director (16 Sep 2003 to 14 Apr 2014)
• Delphine Valerie Arrighi

  IRN DVA01006

  • [FCA CF] Client dealing (24 Aug 2021 to 8 Sep 2022)
• Dexu Qu

  IRN DXQ00005

  • [FCA CF] Client dealing (14 Sep 2020 to 31 Aug 2022)
• Edward Richard Wallace

  IRN ERW01008

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (4 Feb 2016 to 8 Dec 2019)
• Elena Cullen

  IRN EXS01687

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (20 May 2017 to 8 Dec 2019)

No changes recorded yet.