NCM Management (UK) Limited

Date authorised
1 April 2013
Companies House
02434486
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Octagon Point
    5 Cheapside
    London
    EC2V 6AA
    UNITED KINGDOM
    Phone
    +4402079011760
    Web
    https://www.nova-cap.com

  • Complaints Contact

    Octagon Point
    5 Cheapside
    London
    EC2V 6AA
    UNITED KINGDOM
    Phone
    +4402079011760

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • 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, 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), 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, 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), 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, 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), 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, 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), 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.

  • 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, 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), 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.

  • 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, 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), 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.

  • Christopher Kelso Bedford Brotchie

    IRN CKB01012

    • CF1 Director (1 Dec 2001 to 19 Jan 2004)
  • David Simon Williamson

    IRN DSW01038

    • [FCA CF] Significant management (since 20 Aug 2021)
    • [FCA CF] Client dealing (since 20 Aug 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (11 Jan 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Jan 2016 to 8 Dec 2019)
    • CF3 Chief Executive (16 Mar 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (16 Mar 2006 to 31 Mar 2009)
    • CF1 Director (18 Jan 2006 to 8 Dec 2019)
  • David Stuart Huckfield

    IRN DSH01036

    • CF1 Director (20 Dec 2005 to 22 Sep 2008)
    • CF10 Compliance Oversight (1 Dec 2001 to 30 Sep 2004)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 16 Mar 2006)
  • Gilbert John Chalk

    IRN GJC01072

    • CF30 Customer (1 Nov 2007 to 30 Jun 2010)
    • CF1 Director (1 Dec 2001 to 29 Jul 2005)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Hedley John Mayor

    IRN HJM01026

    • CF1 Director (1 Dec 2001 to 16 Jan 2006)
    • CF27 Investment Management (1 Dec 2001 to 1 Mar 2006)
  • James David Badcock

    IRN JDB01095

    • CF13 Finance (1 Dec 2001 to 30 Jun 2004)
  • John George Morton

    IRN JGM01047

    • [FCA CF] Client dealing (23 Aug 2021 to 23 Oct 2023)
    • SMF3 Executive Director (9 Dec 2019 to 24 Mar 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (24 Sep 2004 to 16 Mar 2006)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Mark Ledlie Hawkesworth

    IRN MLH01028

    • CF30 Customer (1 Nov 2007 to 31 Jan 2010)
    • CF1 Director (20 Dec 2005 to 31 Jan 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF3 Chief Executive (1 Dec 2001 to 16 Mar 2006)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 16 Mar 2006)
  • Patrick George Austen

    IRN PJA01098

    • CF30 Customer (17 Dec 2007 to 8 Sep 2015)
  • Roger Stephen Colin Gill

    IRN RSG01028

    • CF27 Investment Management (1 Dec 2001 to 30 Apr 2002)
    • CF1 Director (1 Dec 2001 to 30 Apr 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2002)
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Recent activity

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

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