Ludgate Investments Limited

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FRN: 194783
Date authorised: 1 April 2013
Companies House: 04043908
Last scraped: 3 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

Third Floor

20 Old Bailey

London

City Of London

EC4M 7AN

UNITED KINGDOM

Phone

+4402034781000

Web

https://www.ludgate.com
Complaints Contact

Third Floor 20 Old Bailey

London

EC4M 7AN

UNITED KINGDOM

Phone

+442034781000

What this firm is allowed to do

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

Investment Advice (no pensions)

For Eligible Counterparty, Professional, Retail (Investment), 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 3 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.
- · The firm is limited to corporate finance business when advising retail clients.
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, Retail (Investment), 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, Retail (Investment), 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, Retail (Investment), 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.
Trades With You Directly

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 (contractually based)" is limited to investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Limited to ICVC, AUT and other recognised and unrecognised schemes box management activities and in carrying on such activities to the specified investments, "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract) and rights to or interests in investments - contractually based investments", (when the later is associated with these specified investments).
- · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed other than, "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer types "professional client" and "eligible counterparty".
Investment Setup

For Eligible Counterparty, Professional, Retail (Investment), 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, Retail (Investment), 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.

Approved individuals

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

Laurens DE BRUIJN
IRN LXD01354
- CF30 Customer (26 Nov 2013 to 6 Jul 2016)
Matthew William Sheppee
IRN MWS01096
- CF30 Customer (18 Jul 2011 to 18 Apr 2014)
Nicholas David Pople
IRN NDP01026
- CF2 Non Executive Director (2 Jun 2014 to 6 Oct 2016)
- CF30 Customer (1 Nov 2007 to 28 Feb 2014)
- CF3 Chief Executive (27 Aug 2004 to 16 Mar 2011)
- CF8 Apportionment and Oversight (27 Aug 2004 to 31 Oct 2007)
- CF27 Investment Management (29 Oct 2002 to 31 Oct 2007)
- CF1 Director (1 Dec 2001 to 28 Feb 2014)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Nigel Simon Meir
IRN NSM01015
- CF30 Customer (16 Jan 2012 to 6 Oct 2016)
- CF3 Chief Executive (29 Mar 2011 to 31 May 2011)
- CF10 Compliance Oversight (9 Feb 2006 to 2 Apr 2009)
- CF11 Money Laundering Reporting (9 Feb 2006 to 2 Apr 2009)
- CF27 Investment Management (23 May 2005 to 31 Oct 2007)
- CF1 Director (23 May 2005 to 31 May 2011)
- CF21 Investment Adviser (23 May 2005 to 31 Oct 2007)
Patrick William Miles
IRN PWM01046
- CF30 Customer (1 Nov 2007 to 8 Nov 2010)
- CF21 Investment Adviser (11 Feb 2005 to 31 Oct 2007)
- CF23 Corporate Finance Adviser (11 Feb 2005 to 16 Nov 2005)
Paul Alexander Celerier
IRN PAC01332
- SMF3 Executive Director (since 15 Jul 2020)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF28 Systems and controls (6 Nov 2012 to 8 Dec 2019)
- CF11 Money Laundering Reporting (6 Nov 2012 to 8 Dec 2019)
- CF10 Compliance Oversight (6 Nov 2012 to 8 Dec 2019)
Robert Francis Hill Petch
IRN RFP01026
- CF30 Customer (1 Nov 2007 to 8 Nov 2010)
- CF23 Corporate Finance Adviser (5 Sep 2006 to 31 Oct 2007)
Ronald Andre Verhoef
IRN RAV01016
- CF2 Non Executive Director (8 Aug 2007 to 12 Aug 2008)
Simon Tudor Ellen
IRN STE01008
- CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2003)
- CF3 Chief Executive (1 Dec 2001 to 27 Aug 2002)
- CF8 Apportionment and Oversight (1 Dec 2001 to 27 Aug 2002)
- CF1 Director (1 Dec 2001 to 27 Aug 2002)
THOMAS EDWARD BECKETT
IRN TEB01017
- CF27 Investment Management (18 Oct 2002 to 4 Nov 2004)
- CF3 Chief Executive (29 Aug 2002 to 23 Sep 2004)
- CF8 Apportionment and Oversight (29 Aug 2002 to 23 Sep 2004)
- CF10 Compliance Oversight (1 Dec 2001 to 19 Aug 2004)
- CF11 Money Laundering Reporting (1 Dec 2001 to 19 Aug 2004)
- CF21 Investment Adviser (1 Dec 2001 to 4 Nov 2004)
- CF1 Director (1 Dec 2001 to 23 Sep 2004)

Recent activity

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

No changes recorded yet.

What it all means

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.