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.

• Nicholas Charlton Craig

  IRN NCC01036

  • CF2 Non Executive Director (26 Mar 2002 to 23 Sep 2004)
  • CF10 Compliance Oversight (1 Dec 2001 to 26 Mar 2002)
  • CF1 Director (1 Dec 2001 to 26 Mar 2002)
• Nicholas Edgar

  IRN NDE01017

  • CF30 Customer (14 Feb 2008 to 21 Feb 2010)
• Paul Scott

  IRN PXS00613

  • SMF1 Chief Executive (since 11 Nov 2024)
  • SMF3 Executive Director (since 9 May 2023)
  • [FCA CF] Significant management (since 1 Jan 2023)
  • [FCA CF] Client dealing (since 1 Jan 2023)
  • [FCA CF] Manager of certification employee (since 1 Jan 2023)
• Peter James Haigh

  IRN PJH01321

  • CF2 Non Executive Director (23 Aug 2004 to 31 Mar 2012)
• Peter William Rowley

  IRN PWR01024

  • CF2 Non Executive Director (23 Sep 2004 to 27 Apr 2007)
• Richard Henry Maudslay

  IRN RHM01074

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

  IRN SPJ01045

  • CF30 Customer (1 Nov 2007 to 11 Feb 2016)
  • CF27 Investment Management (12 Jun 2006 to 31 Oct 2007)
• Stephen Mark I'Anson

  IRN SMI01008

  • CF2 Non Executive Director (23 Aug 2004 to 9 Mar 2016)
• Steven Garbutt

  IRN SXG01149

  • CF30 Customer (1 Nov 2007 to 2 May 2008)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Yvonne Gale

  IRN YXG01065

  • SMF1 Chief Executive (9 Dec 2019 to 31 Mar 2023)
  • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2023)
  • CF3 Chief Executive (15 Jun 2015 to 8 Dec 2019)
  • CF1 Director (6 Jul 2012 to 8 Dec 2019)
  • CF30 Customer (6 Jul 2012 to 8 Dec 2019)

No changes recorded yet.