Lothbury Investment Management Limited

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Runs Investment Funds
Private Investment Funds

Senior staff personally approved by the FCA to hold their roles here.

Sean Michael Hawkshaw
IRN SMH01123
- (45)CF1 Director (7 Apr 2004 to 23 Apr 2010)
- (44)CF3 Chief Executive (2 Oct 2003 to 6 Feb 2004)
- (43)CF8 Apportionment and Oversight (7 Jan 2003 to 6 Feb 2004)
- (42)CF13 Finance (1 Dec 2001 to 6 Feb 2004)
Simon John Radford
IRN SJR01131
- (47)SMF3 Executive Director (9 Dec 2019 to 29 Sep 2023)
- (48)SMF1 Chief Executive (9 Dec 2019 to 29 Sep 2023)
- (46)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Feb 2023)
- (52)CF11 Money Laundering Reporting (13 May 2010 to 8 Dec 2019)
- (49)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- (53)CF8 Apportionment and Oversight (29 Mar 2004 to 31 Oct 2007)
- (50)CF27 Investment Management (29 Mar 2004 to 31 Oct 2007)
- (55)CF1 Director (29 Mar 2004 to 8 Dec 2019)
- (54)CF3 Chief Executive (29 Mar 2004 to 8 Dec 2019)
- (51)CF21 Investment Adviser (29 Mar 2004 to 31 Oct 2007)
Sonia Pritam Bhuva
IRN SPB01230
- (31)CF30 Customer (22 Aug 2016 to 28 Jan 2019)
Thomas Daniel Marinus Jansen
IRN TDJ01017
- (10)CF30 Customer (23 Dec 2013 to 8 Dec 2019)
Timothy Grant Legge
IRN TGL01012
- (67)CF21 Investment Adviser (29 Mar 2004 to 31 Mar 2007)
- (66)CF27 Investment Management (29 Mar 2004 to 31 Mar 2004)
Timothy Martin Phillips
IRN TMP01038
- (34)CF30 Customer (30 Apr 2015 to 6 Sep 2019)
Umberto Charles Pierre Arts
IRN UCA01001
- (8)CF2 Non Executive Director (2 Jun 2004 to 29 Oct 2008)
Vikki Louise Ikel
IRN VLI01001
- (35)CF30 Customer (16 Feb 2011 to 15 Dec 2014)

Updates to this firm's record on the FCA register.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.