King & Shaxson Asset Management Limited

• Principal Place of Business

  King & Shaxson Asset Management

  155 Fenchurch Street

  London

  City Of London

  EC3M 6AL

  UNITED KINGDOM

  Phone

  +4402074265950

  Web

  https://www.kingandshaxsonethical.co.uk/home.aspx

• Complaints Contact

  King & Shaxson Asset Management Ltd

  155 Fenchurch Street

  London

  City Of London

  EC3M 6AL

  UNITED KINGDOM

  Phone

  +4402076554712

• Investment Advice (no pensions)

  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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  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), Share, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Trade Settlement Routing

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

• Trades With You Directly

  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), Share, 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.

• Investment Setup

  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), Share, 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.

• Manages Your Portfolio

  For 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Electronic Trade Settlement

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

• Colin Dean Gray Mclauchlan

  IRN CXM00360

  • [FCA CF] Significant management (since 9 Dec 2019)
• Craig Hart

  IRN CXH01362

  • [FCA CF] Client dealing (since 9 Dec 2019)
• David Ian Robert Wileman

  IRN DIW01013

  • SMF10 Chair of the Risk Committee (since 9 Dec 2019)
  • SMF9 Chair of the Governing Body (since 9 Dec 2019)
  • SMF12 Chair of the Remuneration Committee (9 Dec 2019 to 5 Sep 2024)
  • CF2 Non Executive Director (11 Apr 2019 to 8 Dec 2019)
• Elizabeth Rose Mahoney

  IRN EXM00147

  • [FCA CF] Significant management (9 Dec 2019 to 4 Dec 2024)
• Graham Carey

  IRN GXC86386

  • SMF18 Other Overall Responsibility (since 16 Aug 2024)
• Harry George Thompson

  IRN HXT01330

  • 14. Managing investments
  • SMF3 Executive Director (since 18 Oct 2024)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (11 Apr 2019 to 8 Dec 2019)
• Jared James Inkster

  IRN JJI01010

  • SMF16 Compliance Oversight (9 Dec 2019 to 14 Oct 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Oct 2024)
  • SMF3 Executive Director (9 Dec 2019 to 14 Oct 2024)
  • CF10 Compliance Oversight (11 Apr 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (11 Apr 2019 to 8 Dec 2019)
  • CF1 Director (11 Apr 2019 to 8 Dec 2019)
• John David Stunell

  IRN JDS01132

  • SMF14 Senior Independent Director (since 5 Sep 2024)
  • SMF12 Chair of the Remuneration Committee (since 5 Sep 2024)
  • Director of firm who is not a certification employee or a SMF manager (11 May 2022 to 21 Oct 2024)
• Kumar Vakil

  IRN KXV00026

  • SMF2 Chief Finance (since 7 Oct 2024)
  • SMF3 Executive Director (since 25 Nov 2022)
• Martin Begbie Langlands

  IRN MBL01045

  • SMF16 Compliance Oversight (since 7 Oct 2025)
  • SMF4 Chief Risk (since 7 Oct 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Oct 2025)

No changes recorded yet.