Newton Investment Management Limited

Date authorised
1 April 2013
Companies House
01371973
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    160 Queen Victoria Street
    London
    EC4V 4LA
    UNITED KINGDOM
    Phone
    +442071639000
    Web
    https://www.newtonim.com

  • Complaints Contact

    160 Queen Victoria Street
    London
    EC4V 4LA
    UNITED KINGDOM
    Phone
    +442071639000

What this firm is allowed to do

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

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Retail (Investment), Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 2 limitations
    • · Limited to sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
    • · 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 Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Retail (Investment), Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

  • Graeme Alistair Murray Kemsley

    IRN GAK01012

    • CF30 Customer (1 Nov 2007 to 28 Sep 2013)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Graham Maitland Fuller

    IRN GMF01013

    • CF27 Investment Management (1 Dec 2001 to 30 Jun 2005)
  • Grant Hughes Watson Thomson

    IRN GHT01011

    • CF30 Customer (10 Jan 2008 to 22 Aug 2012)
  • Gregory Allan Brisk

    IRN GAB01056

    • SMF10 Chair of the Risk Committee (8 Feb 2021 to 1 Feb 2023)
    • SMF7 Group Entity Senior Manager (9 Dec 2019 to 1 Mar 2023)
    • CF1 Director (8 May 2016 to 8 Dec 2019)
    • CF14 Risk Assessment (1 Dec 2001 to 1 Nov 2002)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Nov 2002)
    • CF10 Compliance Oversight (1 Dec 2001 to 1 Nov 2002)
  • Gregory John Lord

    IRN GJL01033

    • CF26 Customer Trading (1 Dec 2001 to 11 Apr 2006)
  • Guy Charles Christie

    IRN GCC01024

    • CF30 Customer (1 Nov 2007 to 3 Dec 2009)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Guy Denham Warmington

    IRN GDW01033

    • [FCA CF] Material risk taker (since 9 Dec 2019)
  • Gwyneth Anne Davies

    IRN GAD01032

    • [FCA CF] Significant management (9 Dec 2019 to 31 May 2023)
  • Hanneke Smits

    IRN HXS01165

    • SMF7 Group Entity Senior Manager (10 Dec 2020 to 24 Feb 2025)
    • SMF1 Chief Executive (9 Dec 2019 to 10 Dec 2020)
    • SMF3 Executive Director (9 Dec 2019 to 10 Dec 2020)
    • CF3 Chief Executive (11 Nov 2016 to 8 Dec 2019)
    • CF1 Director (18 Aug 2016 to 8 Dec 2019)
  • Harry James Morgan

    IRN HJM01025

    • CF27 Investment Management (6 Jan 2003 to 26 Apr 2007)
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Recent activity

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

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