LaSalle Investment Management

• Principal Place of Business

  La Salle

  78 St. James's Street

  London

  Westminster

  SW1A 1JB

  UNITED KINGDOM

  Phone

  +4402078524261

  Web

  https://www.lasalle.com

• Complaints Contact

  La Salle

  78 St. James's Street

  London

  Westminster

  SW1A 1JB

  UNITED KINGDOM

  Phone

  +4402078524261

• P2P Lending Advice

  For Commercial, Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, 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, Non-investment insurance contracts, 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

  Show 1 limitation Hide limitations

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

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, 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, Non-investment insurance contracts, 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.

• Insurance Admin

  For Commercial, Non-investment insurance contracts

• Stockbroking

  For Eligible Counterparty, Professional, 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, 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), 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.

• Runs Investment Funds

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, 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, Non-investment insurance contracts, 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, 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, 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.

• Philip La Pierre

  IRN PXL00035

  • Responsible for Insurance Distribution (since 1 Nov 2022)
  • SMF1 Chief Executive (since 6 Jan 2021)
  • SMF3 Executive Director (since 6 Jan 2021)
• Philippa Taylor

  IRN PXT00122

  • [FCA CF] Client dealing (13 Mar 2020 to 31 Dec 2023)
• Piali Das

  IRN PXD00134

  • [FCA CF] Client dealing (since 9 Dec 2019)
• Priti Chimanlal Mithani

  IRN PXM00288

  • [FCA CF] Manager of certification employee (1 Mar 2020 to 3 Jun 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 3 Jun 2022)
• Rachel Lucy Fenwick

  IRN RXF00095

  • [FCA CF] Significant management (1 Mar 2022 to 31 Jan 2025)
  • [FCA CF] Manager of certification employee (19 Jun 2020 to 1 Mar 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2025)
• Rafael Ari Simmons

  IRN RXS00326

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2022)
• Raymond Shum

  IRN RXS00822

  • [FCA CF] Client dealing (19 Jan 2023 to 31 Mar 2025)
• Rebecca Jane Gates

  IRN RXG00161

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Dec 2021)
• Richard Adam Stone

  IRN RXS00327

  • [FCA CF] Significant management (since 9 Dec 2019)
• Richard James Mowthorpe

  IRN RJM01314

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 Feb 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 5 Feb 2021)
  • CF10 Compliance Oversight (10 Mar 2006 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (10 Mar 2006 to 8 Dec 2019)

No changes recorded yet.