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.

• Frederic Gabriel Hottinger

  IRN FGH01004

  • CF2 Non Executive Director (24 May 2004 to 14 Mar 2012)
  • CF1 Director (23 Jan 2002 to 24 May 2004)
• George Marc Isliker

  IRN GMI01000

  • CF1 Director (23 Jan 2002 to 18 Dec 2002)
• Giles William Heseltine

  IRN GWH01041

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 4 Jan 2020)
  • SMF3 Executive Director (9 Dec 2019 to 9 Jun 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jul 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jul 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 4 Jan 2020)
  • CF1 Director (13 Nov 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Jun 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (2 Jun 2014 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 May 2002 to 31 Oct 2007)
  • CF27 Investment Management (1 May 2002 to 31 Oct 2007)
• Haitham Faris Mahmood Nori

  IRN HFN01002

  • [FCA CF] Functions requiring qualifications (29 Mar 2022 to 11 Dec 2023)
  • [FCA CF] Client dealing (29 Mar 2022 to 11 Dec 2023)
• Harry Alexander Cameron Hill

  IRN HXH08706

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2020)
  • CF30 Customer (7 Dec 2018 to 8 Dec 2019)
• Henri Joseph Stalder

  IRN HJS01052

  • CF2 Non Executive Director (24 May 2004 to 31 May 2007)
  • CF1 Director (23 Jan 2002 to 24 May 2004)
• Ian Martin Du Feu

  IRN IMD01034

  • CF30 Customer (14 May 2014 to 26 Feb 2016)
• Jack Stephen Williams

  IRN JXW01727

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or 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)
  • 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
  • [FCA CF] Functions requiring qualifications (since 21 Nov 2025)
  • [FCA CF] Client dealing (since 21 Nov 2025)
• John Eamonn Thomas Hynes

  IRN JEH01270

  • CF28 Systems and controls (27 Jun 2017 to 31 Mar 2018)
• Jonathan Morgan

  IRN JXM00555

  • CF30 Customer (20 Jan 2011 to 31 Aug 2016)

No changes recorded yet.