Navera Investment Management Limited

• Principal Place of Business

  Riverside House

  2A Southwark Bridge Road

  London

  SE1 9HA

  UNITED KINGDOM

  Phone

  +442037408350

  Web

  https://www.naverainvestment.com

• Complaints Contact

  Riverside House

  2A Southwark Bridge Road

  London

  SE1 9HA

  UNITED KINGDOM

  Phone

  +442037408350

• 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

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  • · 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.

• 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, 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

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  • · 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.

• 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

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  • · 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

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  • · 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.

• 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

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  • · 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.

• Manages Your Portfolio

  For 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

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  • · 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.

• David James Price

  IRN DXP00316

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 20 Sep 2021)
  • [FCA CF] Client dealing (since 20 Sep 2021)
  • [FCA CF] Material risk taker (since 20 Sep 2021)
• Deborah Clare Judge Oakley

  IRN DCO01015

  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Material risk taker (since 1 May 2020)
  • [FCA CF] Functions requiring qualifications (since 1 May 2020)
  • [FCA CF] Client dealing (since 1 May 2020)
• Eleanor Emerson

  IRN EXE00046

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Material risk taker (since 13 Oct 2023)
  • [FCA CF] Functions requiring qualifications (since 13 Oct 2023)
  • [FCA CF] Client dealing (since 13 Oct 2023)
• James Moncrieff

  IRN JXM03977

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Material risk taker (since 1 May 2020)
  • [FCA CF] Functions requiring qualifications (since 1 May 2020)
  • [FCA CF] Client dealing (since 1 May 2020)
• Margaret Rose Woods

  IRN MRW01074

  • [FCA CF] Material risk taker (1 May 2020 to 31 Dec 2021)
  • [FCA CF] Functions requiring qualifications (1 May 2020 to 31 Dec 2021)
  • [FCA CF] Client dealing (1 May 2020 to 31 Dec 2021)
• Mark Gary Rayward

  IRN MGR01042

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • SMF9 Chair of the Governing Body (since 21 Jan 2022)
  • [FCA CF] Client dealing (since 1 May 2020)
  • [FCA CF] Functions requiring qualifications (since 1 May 2020)
  • [FCA CF] Manager of certification employee (since 1 May 2020)
  • [FCA CF] Material risk taker (since 1 May 2020)
  • [FCA CF] Significant management (since 1 May 2020)
  • SMF1 Chief Executive (1 Oct 2020 to 21 Jan 2022)
• Mark Ian Goodman-Walsh

  IRN MIG01032

  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 8 Feb 2022)
  • [FCA CF] Functions requiring qualifications (since 8 Feb 2022)
  • [FCA CF] Material risk taker (since 8 Feb 2022)
• Matthew Tucker

  IRN MXT00269

  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Material risk taker (since 18 Sep 2025)
  • [FCA CF] Functions requiring qualifications (since 18 Sep 2025)
  • [FCA CF] Client dealing (since 18 Sep 2025)
• Michael Patrick O'Brien

  IRN MPO01018

  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Material risk taker (since 1 May 2020)
  • [FCA CF] Client dealing (since 1 May 2020)
  • [FCA CF] Functions requiring qualifications (since 1 May 2020)
  • [FCA CF] Manager of certification employee (20 Sep 2021 to 6 Jan 2025)
• Philip Kelly

  IRN PTK01023

  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Material risk taker (since 6 Feb 2025)
  • [FCA CF] Client dealing (since 6 Feb 2025)
  • [FCA CF] Functions requiring qualifications (since 6 Feb 2025)

No changes recorded yet.