HAWKSMOOR INVESTMENT MANAGEMENT LIMITED

• Principal Place of Business

  Hawksmoor Investment Management Ltd

  Sterling Court

  17 Dix's Field

  Exeter

  Devon

  EX1 1QA

  UNITED KINGDOM

  Phone

  +441392410180

  Web

  https://www.hawksmoorim.co.uk

• Complaints Contact

  Hawksmoor Investment Management Ltd

  Sterling Court

  17 Dix's Field

  Exeter

  Devon

  EX1 1QA

  UNITED KINGDOM

  Phone

  +441392410180

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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, Retail (Investment), Certificates representing certain security, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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, Retail (Investment), Certificates representing certain security, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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, Retail (Investment), Certificates representing certain security, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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.

• Benjamin David Mackie

  IRN BDM01037

  • 14. Managing investments
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (2 Jan 2019 to 8 Dec 2019)
• Benjamin Stuart Conway

  IRN BSC01022

  • 14. Managing investments
  • [FCA CF] Significant management (since 9 Sep 2024)
  • [FCA CF] Material risk taker (since 9 Dec 2022)
  • [FCA CF] Manager of certification employee (since 5 Dec 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (9 Dec 2019 to 23 Nov 2022)
  • CF1 Director (17 Sep 2018 to 8 Dec 2019)
  • CF30 Customer (10 May 2010 to 8 Dec 2019)
• Brian Jonathan David Ashford-Russell

  IRN BJA01011

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 8 Dec 2020)
  • CF2 Non Executive Director (17 May 2018 to 8 Dec 2019)
• Catherine Anne Routh

  IRN CXR00461

  • [FCA CF] Significant management (19 Jun 2023 to 3 Mar 2025)
  • [FCA CF] Material risk taker (19 Jun 2023 to 3 Mar 2025)
• Chloe Alessandrelli

  IRN CXA00187

  • [FCA CF] Functions requiring qualifications (22 May 2023 to 14 Apr 2026)
  • [FCA CF] Client dealing (4 Nov 2021 to 14 Apr 2026)
• Christopher Francis McNulty

  IRN CFM01052

  • [FCA CF] Client dealing (9 Dec 2019 to 20 Oct 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Oct 2025)
  • CF30 Customer (1 Oct 2015 to 8 Dec 2019)
• Christopher John Rew

  IRN CJR01062

  • CF30 Customer (9 Nov 2015 to 8 Dec 2019)
• Christopher William Kenneth Nevile

  IRN CWN01004

  • [FCA CF] Manager of certification employee (22 Apr 2021 to 30 Jun 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2023)
  • CF30 Customer (1 Nov 2017 to 8 Dec 2019)
• Clive Godfrey Warburton

  IRN CGW01018

  • CF2 Non Executive Director (20 Dec 2012 to 21 Mar 2014)
  • CF11 Money Laundering Reporting (1 Aug 2008 to 14 Dec 2012)
  • CF10 Compliance Oversight (1 Aug 2008 to 30 Nov 2012)
  • CF1 Director (1 Aug 2008 to 14 Dec 2012)
• Daniel Cartridge

  IRN DXC00348

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)

No changes recorded yet.