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.

• Ian James Sinclair Henderson

  IRN IJH01029

  • CF2 Non Executive Director (27 Nov 2007 to 31 Dec 2009)
• Ian Ross Woolley

  IRN IRW01060

  • [FCA CF] Client dealing (9 Dec 2019 to 27 Aug 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Aug 2025)
  • CF30 Customer (30 Jan 2014 to 8 Dec 2019)
• Jacintha Michelle De Alwis

  IRN JMD01115

  • SMF17 Money Laundering Reporting Officer (MLRO) (30 Sep 2020 to 10 Jan 2025)
  • SMF16 Compliance Oversight (30 Sep 2020 to 10 Jan 2025)
• James Alexander Crarer-Collins

  IRN JAC01521

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Client dealing (since 17 Apr 2023)
  • [FCA CF] Functions requiring qualifications (since 17 Apr 2023)
• James Dominic Gaisford

  IRN JDG01124

  • SMF3 Executive Director (9 Dec 2019 to 17 Mar 2022)
  • CF1 Director (16 Oct 2017 to 8 Dec 2019)
• James Guthrie Clark

  IRN JGC01109

  • [FCA CF] Client dealing (9 Dec 2019 to 22 Jul 2022)
  • CF30 Customer (31 Jul 2015 to 8 Dec 2019)
• James Kempster

  IRN JXK20547

  • 14. Managing investments
  • [FCA CF] Material risk taker (since 12 Dec 2025)
  • [FCA CF] Client dealing (since 10 Jun 2022)
  • [FCA CF] Functions requiring qualifications (since 10 Jun 2022)
• James Richard Wood-Smith

  IRN JRW01133

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Aug 2022)
  • CF1 Director (13 May 2014 to 16 Dec 2016)
  • CF30 Customer (5 Feb 2014 to 8 Dec 2019)
• James Stephen Brent

  IRN JSB01118

  • SMF9 Chair of the Governing Body (9 Dec 2019 to 4 Jun 2020)
  • CF2 Non Executive Director (11 Dec 2017 to 8 Dec 2019)
• James Thomas Wingfield Hewitt

  IRN JTH01084

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Manager of certification employee (since 3 Oct 2023)
  • [FCA CF] Functions requiring qualifications (since 17 Apr 2023)
  • [FCA CF] Client dealing (since 17 Apr 2023)

No changes recorded yet.