IM ASSET MANAGEMENT LIMITED

• Principal Place of Business

  38 Carver Street

  Sheffield

  S1 4FS

  ENGLAND

  Phone

  +4403701500900

  Web

  https://www.shackletonadvisers.co.uk

• Complaints Contact

  38 Carver Street

  Sheffield

  S1 4FS

  ENGLAND

  Phone

  +4403701500900

• P2P Lending Advice

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · 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 Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), 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

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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, Commodity Future, Commodity option and option on commodity future, 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), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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, Stakeholder pension scheme, Unit, Warrant

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

• Stockbroking

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

• 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, Commodity Future, Commodity option and option on commodity future, 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), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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, Stakeholder pension scheme, Unit, Warrant

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

• Marcus Eric Lee warburton

  IRN MXW01375

  • CF30 Customer (1 Nov 2007 to 8 May 2009)
  • CF27 Investment Management (6 Dec 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (6 Dec 2004 to 31 Oct 2007)
• Mark Richard Anthony Dakin

  IRN MXD01337

  • CF13 Finance (6 Dec 2004 to 6 Jul 2006)
  • CF1 Director (6 Dec 2004 to 6 Jul 2006)
• Mark Smith

  IRN MPS01135

  • [FCA CF] Client dealing (1 Jul 2023 to 7 Nov 2025)
  • [FCA CF] Manager of certification employee (1 Jul 2023 to 7 Nov 2025)
  • [FCA CF] Functions requiring qualifications (1 Jul 2023 to 7 Nov 2025)
• Matthew Myles Bourn

  IRN MMB01128

  • 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] Functions requiring qualifications (since 1 Jun 2022)
  • [FCA CF] Client dealing (since 1 Jun 2022)
• Michael Damian Egan

  IRN MDE00002

  • CF30 Customer (3 Sep 2008 to 29 May 2012)
• Michelle Morris

  IRN MXM04423

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (12 Oct 2018 to 8 Dec 2019)
• Niall David Baker

  IRN NDB01034

  • SMF9 Chair of the Governing Body (9 Dec 2019 to 3 May 2023)
  • CF2 Non Executive Director (24 Jul 2008 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 24 Jul 2008)
  • CF1 Director (6 Dec 2004 to 24 Jul 2008)
  • CF10 Compliance Oversight (6 Dec 2004 to 8 Apr 2005)
• Nicholas Beardsmore

  IRN NXB01153

  • 14. Managing investments
  • [FCA CF] Client dealing (since 5 Dec 2022)
  • [FCA CF] Functions requiring qualifications (since 5 Dec 2022)
• Nicola Sutcliffe

  IRN NXS01276

  • 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 13 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 13 Nov 2023)
• Olivia Newman

  IRN OXN00005

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

No changes recorded yet.