Montanaro Asset Management Limited

• Principal Place of Business

  53 Threadneedle Street

  London

  EC2R 8AR

  UNITED KINGDOM

  Phone

  +4402074488600

  Web

  https://www.montanaro.co.uk

• Complaints Contact

  53 Threadneedle Street

  London

  EC2R 8AR

  UNITED KINGDOM

  Phone

  +4402074488600

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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 5 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 regulated and unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• 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, 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

  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · 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 investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• 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 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.
  • · 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 4 limitations Hide limitations

  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · 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 investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• 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 3 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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.

• Charles Gerald Bensted Montanaro

  IRN CGM01052

  • SMF9 Chair of the Governing Body (since 17 Feb 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (31 Jan 2006 to 31 Oct 2007)
  • CF1 Director (31 Jan 2006 to 8 Dec 2019)
  • CF10 Compliance Oversight (18 Oct 2005 to 3 Nov 2008)
  • CF11 Money Laundering Reporting (18 Oct 2005 to 3 Nov 2008)
  • CF3 Chief Executive (1 Dec 2001 to 1 Jan 2016)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
• Christer Henrik Schmidt

  IRN HCS01021

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (15 Jan 2018 to 8 Dec 2019)
• Christian Henri Roger Albuisson

  IRN CXA01073

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (8 Aug 2006 to 31 Oct 2007)
• Christopher James Colvin Hutchinson

  IRN CJH01127

  • CF27 Investment Management (1 Dec 2001 to 30 Nov 2005)
  • CF10 Compliance Oversight (1 Dec 2001 to 14 Oct 2005)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 14 Oct 2005)
• Christopher Michael Crier

  IRN CMC01240

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (5 Jan 2018 to 8 Dec 2019)
• Daniel Powner

  IRN DXP00401

  • [FCA CF] Client dealing (since 7 Jun 2022)
• Daniel Simon Harlow

  IRN DSH01058

  • CF1 Director (2 Nov 2009 to 19 Feb 2010)
  • CF30 Customer (1 Nov 2007 to 19 Feb 2010)
  • CF27 Investment Management (5 Aug 2005 to 31 Oct 2007)
• David John Gamble

  IRN DJG01158

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 21 Apr 2022)
  • CF2 Non Executive Director (29 Jan 2014 to 8 Dec 2019)
• David Lindley

  IRN DXL01435

  • CF30 Customer (1 May 2010 to 28 Aug 2015)
• David Wyn Price

  IRN DWP01034

  • [FCA CF] Material risk taker (since 22 Mar 2022)
  • [FCA CF] Significant management (30 Apr 2021 to 22 Mar 2022)

No changes recorded yet.