HOTTINGER & CO. LIMITED

• Principal Place of Business

  Hottinger Group

  4 Carlton Gardens

  London

  Westminster

  SW1Y 5AA

  UNITED KINGDOM

  Phone

  +442072273400

  Web

  http://www.hottinger.co.uk

• Complaints Contact

  Hottinger Group Limited

  4 Carlton Gardens

  London

  SW1Y 5AA

  UNITED KINGDOM

  Phone

  +4402072273405

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, 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, Life Policy, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Stakeholder pension scheme, Structured Deposits, 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

  For Eligible Counterparty, Professional, Retail (Investment)

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, 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, Life Policy, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Stakeholder pension scheme, Structured Deposits, 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, 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.

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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, Structured Deposits, 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.

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, 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, Life Policy, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Stakeholder pension scheme, Structured Deposits, 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, 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, Structured Deposits, 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.

• Adam Jones

  IRN AJJ01099

  • [FCA CF] Client dealing (28 Jul 2021 to 15 Jan 2024)
  • [FCA CF] Functions requiring qualifications (28 Jul 2021 to 15 Jan 2024)
  • [FCA CF] Material risk taker (28 Jul 2021 to 29 Jul 2021)
• Alexander Reshad Hulkhory

  IRN AXH17900

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 19 Sep 2023)
  • [FCA CF] Client dealing (since 18 Sep 2023)
• Andrew Butler-Cassar

  IRN AXB01365

  • 10. Broker fund adviser
  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 14 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 14 Nov 2023)
  • [FCA CF] Functions requiring qualifications (17 Jul 2020 to 31 Dec 2022)
  • [FCA CF] Client dealing (17 Jul 2020 to 31 Dec 2022)
• Antoine De Navacelle

  IRN AXD01568

  • CF21 Investment Adviser (15 Nov 2005 to 7 Feb 2006)
• Beatrice Cesnaite

  IRN BXC00155

  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Conor Joseph Byrne

  IRN CXB06484

  • SMF3 Executive Director (27 Nov 2023 to 7 Nov 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 1 Jan 2026)
  • CF28 Systems and controls (16 Oct 2018 to 8 Dec 2019)
• Danielle Oates

  IRN DXO00072

  • [FCA CF] Client dealing (14 Dec 2020 to 14 Jan 2022)
  • [FCA CF] Functions requiring qualifications (14 Dec 2020 to 14 Jan 2022)
• David Boyd Clasper

  IRN DBC01022

  • CF30 Customer (1 Nov 2007 to 29 Feb 2012)
  • CF1 Director (8 Jul 2002 to 8 Dec 2011)
  • CF27 Investment Management (29 Apr 2002 to 31 Oct 2007)
  • CF21 Investment Adviser (29 Apr 2002 to 31 Oct 2007)
• Elo Zisman Rozencwajg

  IRN EZR01000

  • CF2 Non Executive Director (13 Jun 2013 to 27 Jul 2016)
• Evan William Salway

  IRN EWS01007

  • CF30 Customer (1 Nov 2007 to 31 Aug 2010)
  • CF27 Investment Management (16 Nov 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (16 Nov 2005 to 31 Oct 2007)

No changes recorded yet.