Hathaway Investment Management Limited

Date authorised
1 April 2013
Companies House
03849924
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Grosvenor House
    14 Bennetts Hill
    Birmingham
    West Midlands
    B2 5RS
    UNITED KINGDOM
    Phone
    +4401216323970
    Web
    https://www.hathawayinvestment.com

  • Complaints Contact

    Grosvenor House
    14 Bennetts Hill
    Birmingham
    West Midlands
    B2 5RS
    UNITED KINGDOM
    Phone
    +4401216323970

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For 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, 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 3 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 investment management activities and in carrying on these activities to the customer type "retail client".

  • Arranges Asset Safekeeping

    For 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, 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
    • · 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 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, 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 3 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 investment management activities and in carrying on these activities to the customer type "retail client".

  • Investment Setup

    For 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, 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 4 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 investment management activities.
    • · Limited to investment management activities and in carrying on these activities to the customer type "retail client".

  • Manages Your Portfolio

    For 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, 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 2 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.

  • 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, 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
    • · 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.

  • Anthony Hamilton Jones

    IRN AHJ01016

    • CF2 Non Executive Director (1 Dec 2001 to 19 Sep 2004)
  • Charles James Bragg Flint

    IRN CJF01047

    • CF1 Director (1 Dec 2001 to 1 Dec 2001)
    • CF2 Non Executive Director (1 Dec 2001 to 18 Mar 2008)
  • Gary Edwin Christianson

    IRN GEC01024

    • CF2 Non Executive Director (1 Dec 2001 to 19 Sep 2004)
  • Giles Kenneth Sharp

    IRN GKS01010

    • CF2 Non Executive Director (1 Dec 2001 to 29 Sep 2004)
  • Graham Andrew John Englefield

    IRN GAE01006

    • 14. Managing investments
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (31 Dec 2013 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF3 Chief Executive (1 Dec 2001 to 11 Nov 2005)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 11 Nov 2005)
  • Graham Raphael Shaw

    IRN GRS00060

    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (14 Nov 2005 to 31 Oct 2007)
  • James Pearce

    IRN JXP01229

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (10 Nov 2005 to 8 Dec 2019)
  • Keith James Boxley

    IRN KJB01131

    • CF10 Compliance Oversight (10 Nov 2005 to 13 Jan 2014)
    • CF1 Director (10 Nov 2005 to 13 Jan 2014)
  • Malcolm Cummings

    IRN MXC01460

    • CF2 Non Executive Director (1 Dec 2001 to 31 Mar 2004)
  • Mark Edward Knowles

    IRN MEK01016

    • CF21 Investment Adviser (1 Dec 2001 to 7 May 2003)
    • CF27 Investment Management (1 Dec 2001 to 7 May 2003)
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Recent activity

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

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