Impax Asset Management Limited

• Principal Place of Business

  7th Floor

  30 Panton Street

  London

  SW1Y 4AJ

  UNITED KINGDOM

  Phone

  +442039123000

  Web

  http://www.impaxam.com

• Complaints Contact

  7th Floor

  30 Panton Street

  London

  SW1Y 4AJ

  UNITED KINGDOM

  Phone

  +442039123022

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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, Life Policy, 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, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, Life Policy, 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, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Arranges Asset Safekeeping

  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, Life Policy, 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, Spread Bet, 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.

• 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, Life Policy, 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, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, Life Policy, 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, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• 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, Life Policy, 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, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• David Adam Winborne

  IRN DAW01218

  • [FCA CF] Client dealing (6 Feb 2024 to 1 Apr 2026)
  • [FCA CF] Manager of certification employee (6 Feb 2024 to 1 Apr 2026)
  • [FCA CF] Material risk taker (6 Feb 2024 to 1 Apr 2026)
  • CF30 Customer (26 Oct 2015 to 8 Dec 2019)
• David Doricourt Trafford-Roberts

  IRN DDT01004

  • [FCA CF] Client dealing (6 Feb 2024 to 18 Feb 2025)
  • [FCA CF] Significant management (26 Feb 2021 to 10 Feb 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (25 Jun 2007 to 31 Oct 2007)
  • CF27 Investment Management (25 Jun 2007 to 31 Oct 2007)
• Dean John Palin

  IRN DJP01140

  • [FCA CF] Material risk taker (since 6 Feb 2024)
  • [FCA CF] Manager of certification employee (since 6 Feb 2024)
  • [FCA CF] Client dealing (since 6 Feb 2024)
  • [FCA CF] Significant management (4 Feb 2021 to 17 Nov 2023)
  • CF30 Customer (9 Sep 2013 to 8 Dec 2019)
• Deborah Margaret Fowler

  IRN DMF01050

  • CF11 Money Laundering Reporting (24 Nov 2003 to 31 Jul 2005)
  • CF13 Finance (24 Nov 2003 to 31 Jul 2005)
  • CF8 Apportionment and Oversight (24 Nov 2003 to 30 Apr 2004)
  • CF10 Compliance Oversight (24 Nov 2003 to 31 Jul 2005)
• Edward Farrington

  IRN EXF00161

  • [FCA CF] Material risk taker (13 Dec 2023 to 29 Sep 2025)
• Elise Desiree Bailey

  IRN EXB00133

  • [FCA CF] Material risk taker (6 Feb 2024 to 31 Jul 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (27 Feb 2023 to 24 Jul 2025)
  • [FCA CF] Significant management (10 Feb 2021 to 17 Nov 2023)
• Emily Cassidy

  IRN EXC00259

  • [FCA CF] Manager of certification employee (since 7 Jul 2025)
  • [FCA CF] Material risk taker (since 6 Feb 2024)
  • [FCA CF] Significant management (since 12 Jan 2023)
  • [FCA CF] Manager of certification employee (12 Jan 2023 to 17 Nov 2023)
• Emma Hunt

  IRN EXH01346

  • [FCA CF] Significant management (28 Jul 2021 to 15 Mar 2022)
  • [FCA CF] Manager of certification employee (4 Feb 2021 to 15 Mar 2022)
  • [FCA CF] Client dealing (4 Feb 2021 to 15 Mar 2022)
• Esme Charles Harlowe Lowe

  IRN ECL01010

  • CF30 Customer (21 Jul 2014 to 8 Dec 2019)
• Eva Viktoria Henrietta Alexandra Von Kunow

  IRN EVV01002

  • [FCA CF] Client dealing (6 Feb 2024 to 31 Dec 2025)

No changes recorded yet.