Horizon3 Investment Management LLP

• Principal Place of Business

  48 Warwick Street

  London

  W1B 5AW

  UNITED KINGDOM

  Phone

  +4402073822460

  Web

  https://www.h3im.com

• Complaints Contact

  48 Warwick Street

  London

  W1B 5AW

  UNITED KINGDOM

  Phone

  +4402073822460

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, 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, 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, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, 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, 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, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, 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, 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, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, 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.

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, 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, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• James Ockendon

  IRN JFO00009

  • CF10 Compliance Oversight (24 Sep 2013 to 3 Mar 2014)
  • CF30 Customer (1 Nov 2007 to 16 May 2014)
  • CF21 Investment Adviser (25 Aug 2006 to 31 Oct 2007)
• Melanie Jane Scotland

  IRN MJF01224

  • CF11 Money Laundering Reporting (25 Aug 2006 to 29 May 2007)
  • CF10 Compliance Oversight (25 Aug 2006 to 29 May 2007)
• Michael Hitchcox

  IRN MJH01305

  • CF27 Investment Management (4 Dec 2006 to 15 Dec 2006)
  • CF17 Significant Mgt (Other Business Operations) (4 Dec 2006 to 15 Dec 2006)
  • CF21 Investment Adviser (4 Dec 2006 to 15 Dec 2006)
• Ole Sloth Hansen

  IRN OSH01001

  • CF30 Customer (1 Nov 2007 to 28 Apr 2008)
  • CF21 Investment Adviser (25 Aug 2006 to 31 Oct 2007)
• Paul Michael O'Reilly

  IRN PMO01028

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (25 Aug 2006 to 31 Oct 2007)
• Paul Netherwood

  IRN PXN01140

  • CF1 Director (AR) (since 11 Feb 2022)
  • CF30 Customer (since 11 Feb 2022)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Algorithmic trading (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF28 Systems and controls (12 Dec 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (11 Mar 2014 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (28 Apr 2005 to 8 Dec 2019)
  • CF27 Investment Management (28 Apr 2005 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (28 Apr 2005 to 5 Dec 2006)
• Per Wimmer

  IRN PTW01020

  • [FCA CF] Client dealing (9 Dec 2019 to 17 Oct 2022)
  • SMF27 Partner (9 Dec 2019 to 17 Oct 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 17 Oct 2022)
  • CF4 Partner (18 Feb 2019 to 8 Dec 2019)
• Sanjeev Lakhanpal

  IRN SKL01010

  • CF30 Customer (since 28 Jan 2022)
  • CF1 Director (AR) (since 28 Jan 2022)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Algorithmic trading (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (13 Feb 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (28 Apr 2005 to 31 Oct 2007)
  • CF4 Partner (28 Apr 2005 to 8 Dec 2019)

• Beach Horizon Investment Ltd (no longer appointed)

  FRN 968421 · Appointed 24 Jan 2022 · Until 29 Aug 2023

No changes recorded yet.