GWA Asset Management Ltd

• Principal Place of Business

  17 Walkergate

  Berwick-upon-Tweed

  TD15 1DJ

  UNITED KINGDOM

  Phone

  +441289306688

  Web

  https://qualisfunds.co.uk

• Complaints Contact

  17 Walkergate

  Berwick-upon-Tweed

  TD15 1DJ

  UNITED KINGDOM

  Phone

  +441289306688

• Investment Advice (no pensions)

  For Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, 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 Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, 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 Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stockbroking

  For Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, 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 Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, 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 Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, 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.

• Andrew David Alexander

  IRN ADA01059

  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Client dealing (since 1 Jun 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Jun 2023)
  • SMF3 Executive Director (since 9 Aug 2022)
• Christopher Peter Brown

  IRN CXB09492

  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Client dealing (since 4 Feb 2025)
  • [FCA CF] Functions requiring qualifications (since 4 Feb 2025)
• Colin Meiklem Frame

  IRN CMF01038

  • SMF3 Executive Director (since 9 Aug 2022)
• John Hamilton Coats

  IRN JHC01069

  • SMF3 Executive Director (since 9 Aug 2022)
  • SMF9 Chair of the Governing Body (since 9 Aug 2022)
• Neil Stuart Robertson

  IRN NSR01039

  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 1 Jun 2023)
  • SMF3 Executive Director (since 6 Apr 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (6 Aug 2024 to 7 Aug 2024)
• Richard Gareth Kirkham

  IRN RGK01012

  • SMF3 Executive Director (since 2 Jul 2024)
  • Director of firm who is not a certification employee or a SMF manager (1 Feb 2024 to 2 Jul 2024)
• Stuart Alastair Ferguson Faed

  IRN SAF01095

  • SMF16 Compliance Oversight (since 9 Aug 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Aug 2022)
  • SMF3 Executive Director (since 8 Aug 2022)
• Stuart William Allister

  IRN SWA01012

  • SMF3 Executive Director (since 9 Aug 2022)

No changes recorded yet.