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

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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 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

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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, 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

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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.

• 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

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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.

• 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

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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.

• 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

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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.

• 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

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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 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

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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.

• 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.

• Martin Vaughan Carey

  IRN MVC01009

  • SMF4 Chief Risk (9 Dec 2019 to 22 Jul 2024)
  • SMF3 Executive Director (9 Dec 2019 to 22 Jul 2024)
  • SMF24 Chief Operations (9 Dec 2019 to 22 Jul 2024)
  • CF1 Director (11 Apr 2019 to 8 Dec 2019)
• Miranda Lauraine Telfer

  IRN MLT01026

  • SMF3 Executive Director (9 Dec 2019 to 31 Oct 2023)
  • SMF2 Chief Finance (9 Dec 2019 to 31 Oct 2023)
  • CF1 Director (11 Apr 2019 to 8 Dec 2019)
• Paul Turner

  IRN PXT01319

  • CF30 Customer (11 Apr 2019 to 8 Dec 2019)
• Richard James Hill

  IRN RJH01190

  • [FCA CF] Proprietary trader (9 Dec 2019 to 31 Dec 2021)
• Steven George Boult

  IRN SGB01046

  • SMF17 Money Laundering Reporting Officer (MLRO) (8 Oct 2024 to 6 Oct 2025)
  • SMF16 Compliance Oversight (8 Oct 2024 to 6 Oct 2025)
  • SMF4 Chief Risk (8 Oct 2024 to 6 Oct 2025)
• Wayne Jon Bishop

  IRN WJB01052

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF30 Customer (11 Apr 2019 to 8 Dec 2019)
  • CF1 Director (11 Apr 2019 to 8 Dec 2019)
  • CF3 Chief Executive (11 Apr 2019 to 8 Dec 2019)
• William Arnold

  IRN WXA00106

  • [FCA CF] Client dealing (since 17 Sep 2024)

No changes recorded yet.