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

  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.

• Kais Laouiti

  IRN KXL01076

  • CF27 Investment Management (3 Dec 2004 to 28 Oct 2005)
• Kevin Ashley Miskin

  IRN KAM01074

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2021)
  • SMF3 Executive Director (9 Dec 2019 to 30 Jun 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2021)
  • CF1 Director (10 Aug 2016 to 8 Dec 2019)
  • CF30 Customer (19 Mar 2008 to 8 Dec 2019)
• Laura Catterson

  IRN LXC00210

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Jan 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 22 Jan 2021)
• Mark Edward Dooner

  IRN MED01039

  • [FCA CF] Client dealing (30 Jan 2023 to 24 May 2025)
  • [FCA CF] Functions requiring qualifications (30 Jan 2023 to 24 May 2025)
• Mark James Robertson

  IRN MJR00107

  • 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
  • 3. Giving personal recommendations on derivatives
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (18 Jan 2021 to 25 Jul 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (18 Jan 2021 to 30 Sep 2024)
  • SMF3 Executive Director (9 Dec 2019 to 25 Jul 2025)
  • CF1 Director (11 Oct 2016 to 8 Dec 2019)
• Martin Eric Soons

  IRN MES01031

  • CF30 Customer (1 Nov 2007 to 7 Dec 2011)
  • CF21 Investment Adviser (11 Jul 2006 to 31 Oct 2007)
  • CF27 Investment Management (11 Jul 2006 to 31 Oct 2007)
• Miguel Fraga

  IRN MXF01217

  • 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
  • 3. Giving personal recommendations on derivatives
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 13. Giving personal recommendations on and dealing with derivatives
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 29 Mar 2022)
  • [FCA CF] Client dealing (since 29 Mar 2022)
• Penny Lovell

  IRN PXL00293

  • Responsible for Insurance Distribution (since 30 Jul 2025)
  • SMF3 Executive Director (since 30 May 2025)
  • SMF1 Chief Executive (since 30 May 2025)
• Rainer Plentl

  IRN RXP01284

  • CF1 Director (12 May 2006 to 31 May 2007)
  • CF23 Corporate Finance Adviser (21 Apr 2005 to 5 May 2006)
  • CF21 Investment Adviser (23 Jan 2002 to 31 May 2007)
  • CF27 Investment Management (23 Jan 2002 to 31 May 2007)
  • CF3 Chief Executive (23 Jan 2002 to 5 May 2006)
  • CF8 Apportionment and Oversight (23 Jan 2002 to 5 May 2006)
  • CF10 Compliance Oversight (23 Jan 2002 to 5 May 2006)
  • CF11 Money Laundering Reporting (23 Jan 2002 to 5 May 2006)
• Richard Howard

  IRN RXH01355

  • CF30 Customer (8 Sep 2010 to 30 Apr 2017)

No changes recorded yet.