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.

• Joanne Whitfield

  IRN JXP01499

  • CF30 Customer (1 Nov 2007 to 25 Mar 2010)
  • CF27 Investment Management (13 Jun 2006 to 31 Oct 2007)
• John Sinclair Smith

  IRN JSS01048

  • CF2 Non Executive Director (1 Dec 2001 to 31 Mar 2007)
• Jonathan Swinhoe Luke

  IRN JSL01114

  • SMF1 Chief Executive (11 Oct 2022 to 31 Dec 2024)
  • SMF3 Executive Director (29 Jun 2022 to 31 Dec 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 May 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 31 May 2025)
  • CF30 Customer (29 Apr 2015 to 8 Dec 2019)
• Keith Smith Charlton

  IRN KSC01019

  • CF28 Systems and controls (1 Nov 2007 to 31 Oct 2012)
  • CF1 Director (17 Apr 2007 to 31 Oct 2012)
  • CF10 Compliance Oversight (26 Mar 2002 to 31 Oct 2012)
  • CF11 Money Laundering Reporting (26 Mar 2002 to 31 Oct 2012)
  • CF13 Finance (26 Mar 2002 to 31 Oct 2007)
• Lindsey Gail McMenamin

  IRN LXG01494

  • CF30 Customer (5 Jul 2016 to 23 Mar 2017)
• Malcolm Douglas Page

  IRN MDP01097

  • CF2 Non Executive Director (30 Sep 2005 to 23 Nov 2007)
• Mark Wharton

  IRN MXW00618

  • [FCA CF] Client dealing (since 14 Sep 2022)
• Michael Paul Guellard

  IRN MXG46445

  • [FCA CF] Client dealing (since 9 Dec 2019)
• Michael Terence Hird

  IRN MTH01027

  • CF27 Investment Management (1 Dec 2001 to 10 Aug 2006)
• Neil Mundy

  IRN MXN01410

  • CF2 Non Executive Director (16 Feb 2010 to 31 Mar 2012)

No changes recorded yet.