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.

• David Malcolm Thomas

  IRN DTT01016

  • [FCA CF] Significant management (9 Dec 2019 to 1 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jul 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Jul 2022)
  • CF30 Customer (22 Sep 2011 to 8 Dec 2019)
  • CF27 Investment Management (9 Oct 2006 to 21 Sep 2007)
• David Miles Middleton

  IRN DMM01127

  • CF2 Non Executive Director (1 Dec 2001 to 23 Sep 2004)
• Dawn Isa Chambers

  IRN DIC01022

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (19 Feb 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (19 Feb 2015 to 8 Dec 2019)
  • CF28 Systems and controls (19 Feb 2015 to 8 Dec 2019)
• Duncan James Lowery

  IRN DJL01107

  • CF30 Customer (1 Nov 2007 to 31 Jul 2008)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Emma Ruth O'Rourke

  IRN ERO01008

  • CF10 Compliance Oversight (6 Nov 2012 to 19 Feb 2015)
  • CF11 Money Laundering Reporting (6 Nov 2012 to 19 Feb 2015)
  • CF28 Systems and controls (6 Nov 2012 to 19 Feb 2015)
• Ernest Brian Beaumont

  IRN EBB01010

  • CF2 Non Executive Director (23 Aug 2004 to 31 Mar 2007)
• Frank Nicholson

  IRN FXN01020

  • CF2 Non Executive Director (18 Feb 2004 to 20 May 2004)
• Graham Simon Thrower

  IRN GST01015

  • SMF9 Chair of the Governing Body (since 9 Dec 2019)
  • CF2 Non Executive Director (26 Apr 2018 to 8 Dec 2019)
• James Katirai

  IRN JXK00812

  • [FCA CF] Manager of certification employee (since 1 Jul 2025)
  • [FCA CF] Client dealing (since 1 Jul 2025)
  • [FCA CF] Significant management (since 1 Jul 2025)
• Jane Ann Siddle

  IRN JAS01309

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (14 Feb 2008 to 8 Dec 2019)

No changes recorded yet.