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.

• Harry Boyle

  IRN HXB01628

  • [FCA CF] Client dealing (since 6 Feb 2024)
  • CF30 Customer (5 Sep 2017 to 8 Dec 2019)
• Hector Boyce

  IRN HXB01433

  • [FCA CF] Client dealing (20 Dec 2021 to 19 May 2023)
• Helena Cecily Lewis

  IRN HXL00066

  • [FCA CF] Client dealing (10 Feb 2021 to 31 May 2023)
• Hok Kwan Li

  IRN HXL00067

  • [FCA CF] Client dealing (5 Mar 2021 to 23 Aug 2021)
• Hubertus Theresia Leonardus Jules Aarts

  IRN HTA01002

  • [FCA CF] Manager of certification employee (6 Feb 2024 to 30 Sep 2025)
  • [FCA CF] Material risk taker (6 Feb 2024 to 30 Sep 2025)
  • [FCA CF] Client dealing (6 Feb 2024 to 31 Dec 2025)
  • [FCA CF] Significant management (4 Feb 2022 to 17 Nov 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (11 Jul 2007 to 31 Oct 2007)
  • CF27 Investment Management (11 Jul 2007 to 31 Oct 2007)
• Ian Richard Simm

  IRN IRS01039

  • [FCA CF] Client dealing (since 6 Feb 2024)
  • [FCA CF] Manager of certification employee (since 6 Feb 2024)
  • [FCA CF] Material risk taker (since 6 Feb 2024)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • [FCA CF] Significant management (4 Feb 2021 to 17 Nov 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (6 May 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Sep 2002)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Sep 2002)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Isabelle Michele Hargreaves

  IRN IXH01181

  • [FCA CF] Client dealing (29 Jul 2022 to 10 Oct 2022)
• Jacopo Trombetta

  IRN JXT00236

  • [FCA CF] Significant management (4 Feb 2021 to 17 Nov 2023)
• Jacqueline Ann Brown

  IRN JAB01391

  • CF28 Systems and controls (1 Nov 2007 to 6 Apr 2009)
  • CF10 Compliance Oversight (28 Jun 2005 to 3 Jul 2008)
  • CF13 Finance (28 Jun 2005 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (28 Jun 2005 to 3 Jul 2008)
• Jacqueline Samy

  IRN JXS01129

  • [FCA CF] Client dealing (26 Oct 2022 to 17 Nov 2023)

No changes recorded yet.