Knox D'Arcy Investment Management Limited

• Principal Place of Business

  Knox D'Arcy Investment Management Ltd

  11 St. James's Place

  London

  Westminster

  SW1A 1NP

  UNITED KINGDOM

  Phone

  +4402070091011

• Complaints Contact

  Knox D'Arcy Investment Management Ltd

  11 St. James's Place

  London

  Westminster

  SW1A 1NP

  UNITED KINGDOM

  Phone

  +4402074952202

• 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, 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, 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

  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, 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, 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, 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.

• 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, 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, 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, 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, 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, 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, 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.

• Nigel Chase

  IRN NXC00254

  • Director of firm who is not a certification employee or a SMF manager (18 Mar 2022 to 13 May 2022)
• Nikhil Shah

  IRN NXS01513

  • CF30 Customer (1 Nov 2007 to 3 Mar 2010)
  • CF21 Investment Adviser (25 Sep 2007 to 31 Oct 2007)
  • CF27 Investment Management (25 Sep 2007 to 31 Oct 2007)
• Ralph Stephen Brunswick

  IRN RSB01041

  • CF1 Director (1 Dec 2001 to 5 Dec 2006)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 5 Dec 2006)
• Ranjan Keshhavji Ramparia

  IRN RKR01007

  • CF30 Customer (1 Nov 2007 to 2 Apr 2014)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 2 Apr 2014)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Richard Jonathan Graham Steele

  IRN RJS01177

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (7 Aug 2003 to 8 Dec 2019)
  • CF21 Investment Adviser (7 Aug 2003 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (7 Aug 2003 to 31 Oct 2007)
  • CF27 Investment Management (7 Aug 2003 to 31 Oct 2007)
  • CF23 Corporate Finance Adviser (7 Aug 2003 to 31 Oct 2007)
  • CF2 Non Executive Director (1 Dec 2001 to 26 Mar 2002)
• Roger Geoffrey Barrs

  IRN RGB01111

  • CF1 Director (27 Oct 2006 to 22 Dec 2006)
• Ruth Victoria Ellen Fawcett

  IRN RVF01001

  • CF8 Apportionment and Oversight (1 Dec 2001 to 12 Apr 2002)
  • CF1 Director (1 Dec 2001 to 12 Apr 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 12 Apr 2002)
  • CF26 Customer Trading (1 Dec 2001 to 12 Apr 2002)
  • CF27 Investment Management (1 Dec 2001 to 12 Apr 2002)
• Stephen Paul Winrow

  IRN SPW01119

  • CF1 Director (8 Jan 2007 to 17 Aug 2009)
• Susmita Jeffrey

  IRN SXJ01304

  • CF4 Partner (AR) (10 Apr 2006 to 15 Jun 2006)
• Timothy Doolan

  IRN TXD01055

  • Director of firm who is not a certification employee or a SMF manager (since 22 Jul 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)

• Parish Capital Advisors Europe LLP (no longer appointed)

  FRN 450441 · Appointed 5 Apr 2006 · Until 29 Jun 2006

No changes recorded yet.