Novate Global Markets Limited

Date authorised
1 April 2013
Companies House
01934008
Last scraped
17 hours ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    24 Lombard Street
    -
    London
    EC3V 9AJ
    UNITED KINGDOM
    Phone
    +442045422778
    Web
    https://www.novategm.com

  • Complaints Contact

    24 Lombard Street
    London
    EC3V 9AJ
    UNITED KINGDOM
    Phone
    +442045422778

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 Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments), Alternative Debenture

    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 Professional, Eligible Counterparty, Share, Debenture, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments), Alternative Debenture

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

    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.

  • Trades With You Directly

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

    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 Professional, Eligible Counterparty, Share, Debenture, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments), Alternative Debenture

    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.

  • Anna-Marie Ullmann

    IRN AXU01059

    • (121)CF30 Customer (8 Aug 2008 to 12 Jul 2011)
  • Annabel Martin

    IRN AXM03368

    • (245)CF30 Customer (6 Jun 2012 to 26 Sep 2013)
  • Anne Colette Yvonne Flori

    IRN ACF01057

    • (192)CF21 Investment Adviser (10 Jul 2003 to 15 Apr 2005)
  • Anthony Charles Barrett

    IRN ACB01121

    • (221)CF10 Compliance Oversight (1 Dec 2001 to 27 Jun 2002)
  • Archie Thomas Winter

    IRN AXW00860

    • (375)[FCA CF] Client dealing (24 Nov 2023 to 2 Sep 2024)
  • Arie Rashid

    IRN AXR01964

    • (405)[FCA CF] Client dealing (11 Jul 2022 to 15 Jan 2026)
  • Arthur Francisco Bauch

    IRN AFB01055

    • (242)CF21 Investment Adviser (20 Apr 2004 to 7 Oct 2004)
  • Barry Dent

    IRN BJD01052

    • (299)CF21 Investment Adviser (7 Dec 2005 to 3 May 2006)
  • Barry George Brooks

    IRN BGB01026

    • (522)[FCA CF] CASS oversight function (26 Aug 2020 to 9 Oct 2020)
    • (520)[FCA CF] Material risk taker (26 Aug 2020 to 16 Aug 2024)
    • (521)[FCA CF] Significant management (26 Aug 2020 to 16 Aug 2024)
    • (519)CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
    • (518)CF29 Significant management (24 Aug 2011 to 8 Dec 2019)
  • Barry Richard Langley

    IRN BRL01012

    • (134)CF21 Investment Adviser (11 Feb 2004 to 14 Sep 2004)
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Recent activity

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

  1. controlled function added: (631)CF1 Director

  2. controlled function added: (630)SMF3 Executive Director

  3. controlled function added: (629)SMF9 Chair of the Governing Body

  4. controlled function added: (628)SMF16 Compliance Oversight

  5. controlled function added: (627)SMF17 Money Laundering Reporting Officer (MLRO)

  6. controlled function added: (626)SMF16 Compliance Oversight

  7. controlled function added: (625)SMF17 Money Laundering Reporting Officer (MLRO)

  8. controlled function added: (624)CF10 Compliance Oversight

  9. controlled function added: (623)CF11 Money Laundering Reporting

  10. controlled function added: (622)SMF16 Compliance Oversight

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