Lindsell Train Limited

• Principal Place of Business

  Lindsell Train Ltd

  66 Buckingham Gate

  London

  Westminster

  SW1E 6AU

  UNITED KINGDOM

  Phone

  +442078081210

  Web

  https://www.lindselltrain.com

• Complaints Contact

  Lindsell Train Ltd

  66 Buckingham Gate

  London

  Westminster

  SW1E 6AU

  UNITED KINGDOM

  Phone

  +442078081210

• 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, 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, 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, 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, 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 4 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.
  • · Limited to repurchase agreement activities and in carrying on these activities to the securities, "government and public security", "certificate representing certain security", and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• 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, 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.

• Private Investment Funds

• 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, 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.

• Alexander Windsor Clive

  IRN AXW02325

  • [FCA CF] Material risk taker (since 23 Feb 2022)
  • [FCA CF] Client dealing (since 23 Feb 2021)
  • CF30 Customer (28 Feb 2017 to 8 Dec 2019)
• Andrew Jonathan Morris

  IRN AJM01250

  • SMF17 Money Laundering Reporting Officer (MLRO) (24 Jan 2020 to 21 Aug 2020)
  • SMF16 Compliance Oversight (24 Jan 2020 to 21 Aug 2020)
  • CF10 Compliance Oversight (5 Jun 2019 to 8 Dec 2019)
  • CF28 Systems and controls (5 Jun 2019 to 8 Dec 2019)
• Ben Van Leeuwen

  IRN BXV00041

  • [FCA CF] Material risk taker (since 17 Aug 2022)
  • [FCA CF] Client dealing (since 17 Aug 2022)
• Diane Penson

  IRN DXP07647

  • CF11 Money Laundering Reporting (8 Nov 2018 to 20 Nov 2019)
• James Michael Alexandroff

  IRN JMA01182

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 14 Mar 2023)
  • CF2 Non Executive Director (26 Jul 2011 to 8 Dec 2019)
• James Michael Rex Bullock

  IRN JMB01472

  • SMF3 Executive Director (since 29 May 2024)
  • [FCA CF] Material risk taker (since 23 Feb 2022)
  • [FCA CF] Client dealing (since 23 Feb 2021)
  • CF30 Customer (24 Sep 2012 to 8 Dec 2019)
• Jane Sylvia Orr

  IRN JSO01008

  • Director of firm who is not a certification employee or a SMF manager (since 18 Mar 2023)
  • SMF3 Executive Director (9 Dec 2019 to 17 Mar 2023)
  • CF1 Director (8 Apr 2010 to 8 Dec 2019)
• Jessica Marshall

  IRN JXC02377

  • SMF3 Executive Director (since 27 May 2024)
  • [FCA CF] Material risk taker (since 22 Feb 2022)
  • [FCA CF] Client dealing (since 22 Feb 2021)
  • CF30 Customer (13 Sep 2018 to 8 Dec 2019)
• Jin Hei Philips

  IRN JHH01066

  • [FCA CF] Material risk taker (since 7 Jun 2023)
• Jocelyn Arthur Saunders

  IRN JAS01479

  • SMF3 Executive Director (since 22 Jul 2022)
  • [FCA CF] Significant management (10 May 2021 to 22 Jul 2022)
  • [FCA CF] Material risk taker (10 May 2021 to 22 Jul 2022)

No changes recorded yet.