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.

• Jason Hopton

  IRN JXH00574

  • 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 1 Jan 2026)
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2023)
  • [FCA CF] Client dealing (since 21 Sep 2020)
• John Christopher Crowley

  IRN JCC01107

  • SMF3 Executive Director (9 Dec 2019 to 22 May 2020)
  • SMF1 Chief Executive (9 Dec 2019 to 22 May 2020)
  • CF10 Compliance Oversight (27 Nov 2007 to 1 Aug 2008)
  • CF3 Chief Executive (27 Nov 2007 to 8 Dec 2019)
  • CF30 Customer (27 Nov 2007 to 8 Dec 2019)
  • CF1 Director (27 Nov 2007 to 8 Dec 2019)
• John Crowley

  IRN JXC00571

  • Director of firm who is not a certification employee or a SMF manager (23 May 2020 to 1 Mar 2021)
• John Gerard Wynne

  IRN JGW01035

  • CF1 Director (10 Aug 2015 to 16 May 2017)
• Jonathan Rigley

  IRN JXR01235

  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (25 Apr 2016 to 8 Dec 2019)
• KISHAN RAJA

  IRN KXR00119

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 17 Jul 2023)
  • [FCA CF] Client dealing (since 29 Apr 2020)
• Leighton David Francis Dunkley

  IRN LXD00197

  • [FCA CF] Material risk taker (18 Oct 2024 to 24 Jan 2025)
  • [FCA CF] Significant management (18 Oct 2024 to 24 Jan 2025)
  • SMF3 Executive Director (12 Mar 2022 to 13 Sep 2024)
• MICHAEL BALCH

  IRN MXB00547

  • [FCA CF] Client dealing (27 Apr 2020 to 20 Oct 2025)
• Matthew Paul Hills

  IRN MPH01171

  • [FCA CF] Significant management (since 13 Jan 2026)
• Maxwell Peter Weatherby

  IRN MPW01035

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 22 Apr 2021)
  • CF11 Money Laundering Reporting (13 Dec 2012 to 8 Aug 2014)
  • CF1 Director (16 Nov 2010 to 29 Jul 2016)
  • CF30 Customer (8 Apr 2009 to 8 Dec 2019)

No changes recorded yet.