Hathaway Investment Management Limited

Date authorised
1 April 2013
Companies House
03849924
Last scraped
3 weeks ago
Watch for changes

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.

  • Nicholas Quartly Grazebrook Grazebrook

    IRN NQG01001

    • CF27 Investment Management (1 Dec 2001 to 20 Aug 2002)
    • CF1 Director (1 Dec 2001 to 20 Aug 2002)
  • Robert Oswald Bogle

    IRN ROB01007

    • CF30 Customer (1 Nov 2007 to 1 May 2018)
    • CF27 Investment Management (20 Nov 2002 to 31 Oct 2007)
    • CF21 Investment Adviser (20 Nov 2002 to 31 Oct 2007)
  • Stuart Robert George Englefield

    IRN SRE01012

    • 14. Managing investments
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF3 Chief Executive (11 Nov 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (11 Nov 2005 to 31 Oct 2007)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 10 Nov 2005)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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