Nova Capital Management Limited

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FRN: 143456
Date authorised: 1 April 2013
Companies House: 02137771
Last scraped: 3 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

Octagon Point

5 Cheapside

London

EC2V 6AA

UNITED KINGDOM

Phone

+4402079011760

Web

https://www.nova-cap.com
Complaints Contact

Octagon Point

5 Cheapside

London

EC2V 6AA

UNITED KINGDOM

Phone

+4402079011760

What this firm is allowed to do

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

P2P Lending Advice

For Eligible Counterparty, Professional
Investment Advice (no pensions)

For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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)" and "rights to or interests in investments (contractually based investment)" is limited to the 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Arranges Asset Safekeeping

For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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)" 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, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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)" 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, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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)" 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, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Holds Your Assets

For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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 1 limitation Hide limitations
- · 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.

Adam Robson
IRN RXA01473
- CF1 Director (27 Nov 2014 to 13 Apr 2015)
- CF30 Customer (2 Jan 2009 to 13 Apr 2015)
Andrew Robert Krok-Paszkowski
IRN ARK01043
- CF30 Customer (1 Nov 2007 to 30 Apr 2015)
- CF21 Investment Adviser (16 Aug 2007 to 31 Oct 2007)
- CF27 Investment Management (16 Aug 2007 to 31 Oct 2007)
- CF1 Director (3 Jan 2006 to 18 Jan 2013)
- CF22 Investment Adviser (Trainee) (24 Feb 2003 to 31 May 2007)
David Alan Jacobs
IRN DAJ01121
- CF1 Director (19 Dec 2014 to 25 Nov 2015)
- CF30 Customer (11 Feb 2013 to 6 Feb 2017)
David James Cruickshank
IRN DJC01292
- CF22 Investment Adviser (Trainee) (24 Feb 2003 to 24 Feb 2004)
David John Carman
IRN DJC01389
- CF30 Customer (18 Aug 2015 to 6 Feb 2017)
- CF1 Director (16 Apr 2009 to 17 Aug 2015)
- CF21 Investment Adviser (3 Sep 2007 to 31 Oct 2007)
- CF27 Investment Management (3 Sep 2007 to 31 Oct 2007)
David Read Tate
IRN DRT01019
- CF1 Director (4 Nov 2004 to 31 May 2006)
- CF23 Corporate Finance Adviser (9 Mar 2004 to 29 Nov 2006)
- CF21 Investment Adviser (9 Mar 2004 to 29 Nov 2006)
David Simon Williamson
IRN DSW01038
- [FCA CF] Significant management (since 27 Aug 2021)
- [FCA CF] Client dealing (since 27 Aug 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF10 Compliance Oversight (11 Jan 2016 to 8 Dec 2019)
- CF11 Money Laundering Reporting (11 Jan 2016 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF27 Investment Management (19 Apr 2007 to 31 Oct 2007)
- CF1 Director (25 Sep 2002 to 8 Dec 2019)
- CF8 Apportionment and Oversight (25 Sep 2002 to 31 Mar 2009)
- CF21 Investment Adviser (25 Sep 2002 to 31 Oct 2007)
- CF3 Chief Executive (25 Sep 2002 to 8 Dec 2019)
Dennis Powers
IRN DXP01498
- CF30 Customer (1 Nov 2007 to 30 Apr 2015)
- CF27 Investment Management (22 Aug 2007 to 31 Oct 2007)
- CF21 Investment Adviser (22 Aug 2007 to 31 Oct 2007)
- CF1 Director (17 Jan 2006 to 1 Oct 2014)
Donald Dunlop Forrest
IRN DDF01000
- CF1 Director (3 Dec 2002 to 31 Jan 2006)
- CF13 Finance (24 Oct 2002 to 31 Jan 2006)
- CF11 Money Laundering Reporting (24 Oct 2002 to 31 Jan 2006)
- CF10 Compliance Oversight (24 Oct 2002 to 31 Jan 2006)
Graham Kenneth Urquhart
IRN GKU00002
- CF10 Compliance Oversight (1 Dec 2001 to 16 Oct 2002)
- CF11 Money Laundering Reporting (1 Dec 2001 to 16 Oct 2002)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

David Carman (no longer appointed)
FRN 715818 · Appointed 3 Sep 2015 · Until 6 Feb 2017
Jonathan Seal (no longer appointed)
FRN 715817 · Appointed 3 Sep 2015 · Until 6 Feb 2017
Parabellum Limited (no longer appointed)
FRN 569198 · Appointed 18 Nov 2011 · Until 11 Jun 2019
Tempo Capital Partners LLP (no longer appointed)
FRN 448946 · Appointed 8 Mar 2006 · Until 7 Dec 2006

Recent activity

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

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.