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.

• Jonathan Lamb

  IRN JXL00189

  • [FCA CF] Client dealing (since 9 Jun 2022)
• Joshua Grant Ausden

  IRN JXA00177

  • [FCA CF] Material risk taker (since 25 Apr 2024)
  • [FCA CF] Client dealing (since 23 Jan 2023)
• Julian Antony Bartlett

  IRN JAB01277

  • Director of firm who is not a certification employee or a SMF manager (since 2 Jul 2020)
• Katie Angela Mundell

  IRN KAM01207

  • CF11 Money Laundering Reporting (13 Aug 2015 to 31 Oct 2018)
• Keith James Wilson

  IRN KJW01072

  • [FCA CF] Client dealing (5 Jul 2022 to 31 Jan 2024)
  • [FCA CF] Manager of certification employee (23 Feb 2021 to 31 Jan 2024)
  • SMF3 Executive Director (9 Dec 2019 to 31 Jan 2024)
  • CF1 Director (26 Nov 2019 to 8 Dec 2019)
  • CF30 Customer (29 Jan 2010 to 8 Dec 2019)
• Madeline Victoria Wright Albuquerque

  IRN MVD01016

  • [FCA CF] Material risk taker (since 22 Feb 2022)
  • [FCA CF] Client dealing (since 22 Feb 2021)
  • CF30 Customer (8 Oct 2014 to 8 Dec 2019)
• Mathew McNeill

  IRN MXM00479

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Jun 2021)
  • SMF16 Compliance Oversight (since 15 Jun 2021)
• Michael Cheong-Young Lim

  IRN MCL01024

  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (24 Feb 2021 to 5 Jul 2022)
  • CF1 Director (1 Apr 2010 to 8 Dec 2019)
  • CF28 Systems and controls (1 Nov 2007 to 5 Jun 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 5 Jun 2019)
  • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 12 Aug 2015)
• Michael James Lindsell

  IRN MJL01106

  • [FCA CF] Material risk taker (since 17 Feb 2025)
  • [FCA CF] Client dealing (since 2 Mar 2021)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
• Nicholas John Train

  IRN NJT01031

  • [FCA CF] Material risk taker (since 17 Feb 2025)
  • [FCA CF] Client dealing (since 2 Mar 2021)
  • SMF9 Chair of the Governing Body (since 27 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.