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.

• Michael Burt Knight

  IRN MBK01011

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Oct 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 8 Oct 2020)
  • CF10 Compliance Oversight (6 Aug 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (6 Aug 2014 to 8 Dec 2019)
• Michael David Evans

  IRN MDE01037

  • CF30 Customer (20 Dec 2007 to 31 Mar 2010)
• Michael Jonathan Read Bishop

  IRN MJB01358

  • SMF3 Executive Director (since 26 Mar 2025)
• Neil Leslie Lloyd

  IRN NLL01017

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Nov 2025)
  • SMF16 Compliance Oversight (since 5 Nov 2025)
• Nicholas Edward William Alger

  IRN NEA00017

  • 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] Functions requiring qualifications (since 18 Aug 2025)
  • [FCA CF] Client dealing (since 18 Aug 2025)
• Nicholas Hunt

  IRN NXH25904

  • SMF16 Compliance Oversight (10 Feb 2025 to 12 Sep 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (10 Feb 2025 to 12 Sep 2025)
• Nicholas Thomas Andrew Hodgson

  IRN NTH01012

  • CF2 Non Executive Director (27 Mar 2017 to 31 Aug 2017)
• Oliver Francis Orlebar Findlay

  IRN OFF01001

  • 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 17 Apr 2023)
  • [FCA CF] Functions requiring qualifications (since 17 Apr 2023)
• Paul Sidney Stevens

  IRN PXS01324

  • 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 23 Oct 2023)
  • [FCA CF] Functions requiring qualifications (since 23 Oct 2023)
  • [FCA CF] Manager of certification employee (since 23 Oct 2023)
• Rebecca Anne Fournier D'Albe

  IRN RAF01093

  • [FCA CF] Manager of certification employee (1 Sep 2020 to 7 Oct 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 7 Oct 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Oct 2025)
  • CF30 Customer (9 Nov 2015 to 8 Dec 2019)

No changes recorded yet.