NEL Fund Managers Limited

• Principal Place of Business

  Unit 4

  Enterprise House

  Kingsway

  Team Valley Trading Estate

  Gateshead

  Tyne and Wear

  NE11 0SR

  UNITED KINGDOM

  Phone

  +4403453697007

  Web

  https://www.nel.co.uk

• Complaints Contact

  Unit 4

  Enterprise House

  Kingsway

  Team Valley Trading Estate

  Gateshead

  Tyne and Wear

  NE11 0SR

  UNITED KINGDOM

  Phone

  +4403453697007

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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

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  • · 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.

• 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, Certificates representing certain security, Debenture, 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

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  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · 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 dealing-only activities.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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 3 limitations Hide limitations

  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · 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.

• Consumer Loans

• Runs Investment Funds

• Loan Servicing

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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 4 limitations Hide limitations

  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · 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 transaction-only activities.

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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 3 limitations Hide limitations

  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · 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.

• Anthony William Henfrey

  IRN AWH01033

  • CF2 Non Executive Director (8 Mar 2012 to 9 Mar 2016)
• Antony David Ross

  IRN ADR01046

  • CF2 Non Executive Director (12 May 2008 to 18 Sep 2009)
• Barrie Stuart Hensby

  IRN BSH01015

  • CF30 Customer (1 Nov 2007 to 2 Jul 2018)
  • CF1 Director (1 Dec 2001 to 2 Jul 2018)
  • CF3 Chief Executive (1 Dec 2001 to 1 Apr 2015)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
• Christopher Ian Hope

  IRN CIH01004

  • CF27 Investment Management (1 Dec 2001 to 7 Feb 2003)
  • CF1 Director (1 Dec 2001 to 7 Feb 2003)
• Christopher Parker

  IRN CXP01700

  • CF30 Customer (19 Mar 2015 to 31 Mar 2016)
• Christopher Scott Thompson

  IRN CST01022

  • CF2 Non Executive Director (16 May 2008 to 22 Oct 2008)
• Daniel Martin Brophy

  IRN DMB01189

  • CF2 Non Executive Director (30 Sep 2005 to 31 Mar 2007)
• David Andrew Whitmell

  IRN DAW01126

  • CF2 Non Executive Director (12 Dec 2016 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2010)
  • CF1 Director (3 May 2007 to 31 Dec 2010)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• David Coulson Stonehouse

  IRN DCS01105

  • CF2 Non Executive Director (23 Aug 2004 to 31 Mar 2012)
• David Kenneth Wilson

  IRN DKW01019

  • CF30 Customer (1 Nov 2007 to 2 May 2008)
  • CF1 Director (27 Apr 2007 to 2 May 2008)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.