NCM Fund Services Limited

Date authorised
1 April 2013
Companies House
SC166074
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Fourth Floor
    7 Castle Street
    Edinburgh
    EH2 3AH
    UNITED KINGDOM
    Phone
    +441316037020
    Web
    https://www.ncmfundservices.com

  • Complaints Contact

    Fourth Floor
    7 Castle Street
    Edinburgh
    EH2 3AH
    UNITED KINGDOM
    Phone
    +441316037020

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, Certificates representing certain security, 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), 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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, 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), 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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, Certificates representing certain security, 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), 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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, 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), 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Runs Investment Funds

  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Private Investment Funds

  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

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

  • Joseph Eugene Mary Philipsz

    IRN JXP01330

    • CF13 Finance (25 Feb 2005 to 31 Jan 2007)
    • CF10 Compliance Oversight (22 Jul 2004 to 8 May 2006)
    • CF1 Director (22 Jul 2004 to 16 Apr 2008)
    • CF2 Non Executive Director (1 Dec 2001 to 19 Jul 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 25 Nov 2004)
  • Joseph Michael James Ludlow

    IRN JML01218

    • CF1 Director (AR) (1 Feb 2017 to 30 Jun 2017)
    • CF30 Customer (1 Feb 2017 to 30 Jun 2017)
  • Joy Ann Young

    IRN JAY01007

    • CF11 Money Laundering Reporting (21 Jan 2003 to 15 Sep 2005)
  • Kalyan Ray

    IRN KXR01119

    • CF21 Investment Adviser (9 Sep 2005 to 27 Sep 2005)
    • CF10 Compliance Oversight (9 Sep 2005 to 29 Feb 2008)
    • CF11 Money Laundering Reporting (9 Sep 2005 to 29 Feb 2008)
  • Kathleen Moir McLeay

    IRN KMM01064

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF30 Customer (21 Jul 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (29 Dec 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (29 Dec 2009 to 8 Dec 2019)
    • CF3 Chief Executive (30 Apr 2009 to 8 Dec 2019)
    • CF1 Director (30 Apr 2009 to 8 Dec 2019)
  • LINDSAY JAMES WHITELAW

    IRN LJW01035

    • CF30 Customer (17 Jul 2012 to 16 Jun 2017)
    • CF1 Director (AR) (17 Jul 2012 to 16 Jun 2017)
  • Lauren Scott

    IRN LXS01909

    • CF30 Customer (2 Nov 2017 to 18 Jun 2018)
  • Mark Thomas Boggett

    IRN MTB01083

    • CF30 Customer (11 Jan 2017 to 30 Jun 2017)
    • CF4 Partner (AR) (11 Jan 2017 to 30 Jun 2017)
  • Melanie Hayes

    IRN MXH02268

    • CF30 Customer (1 Feb 2017 to 30 Jun 2017)
    • CF1 Director (AR) (1 Feb 2017 to 30 Jun 2017)
  • Michael Gerald Bourne

    IRN MGB01047

    • CF30 Customer (26 Apr 2014 to 30 Sep 2017)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

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

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