OCTOPUS MONEY UNIT TRUST MANAGERS LIMITED

• Principal Place of Business

  6th Floor

  33 Holborn

  London

  EC1N 2HT

  UNITED KINGDOM

  Phone

  +4403455288852

  Web

  https://www.octopusmoneydirect.com

• Complaints Contact

  6th Floor

  33 Holborn

  London

  EC1N 2HT

  UNITED KINGDOM

  Phone

  +4407483913607

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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, Unit, Warrant

  Show 8 limitations Hide limitations

  • · Limited to personal pension scheme activities and in carrying on such activities to the customer types "retail client" and "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 authorised unit trust scheme share exchange activities and in carrying on such activities to the specified investments listed other than all contractually based investments.
  • · Limited to collective investment scheme administration activities and in carrying on such activities to the specified investment type "unit" and "rights to or interests in investment - security", when the latter is associated with this specified investment).
  • · Limited to authorised unit trust operations and in carrying on these operations, to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer type "retail client".
  • · Limited to authorised unit trust scheme operations and in carrying on such activities to the specified investments listed other than "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "commodity future", "life policy", "funeral plan contract", and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments), for the customer type "retail client".
  • · The specified investments "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)" and "rights to or interests in investment - contractually based investments", (when the latter is associated with this specified investment), are limited to Efficient Portfolio Management activities and the customer type "retail client".

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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, 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.

• Stockbroking

  For Professional, Retail (Investment), 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, 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, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Limited to personal pension scheme activities and in carrying on such activities to the customer types "retail client" and "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 authorised unit trust operations and in carrying on these operations, to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer type "retail client".
  • · Limited to authorised unit trust scheme operations and in carrying on such activities to the specified investments listed other than "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "commodity future", "life policy", "funeral plan contract", and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments), for the customer type "retail client".
  • · The specified investments "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)" and "rights to or interests in investment - contractually based investments", (when the latter is associated with this specified investment), are limited to Efficient Portfolio Management activities and the customer type "retail client".

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Unit

  Show 2 limitations Hide limitations

  • · Limited to authorised unit trust box management operations and in carrying on such activities to the specified investments "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Runs Personal Pensions

  For Professional, Retail (Investment), Personal pension scheme

• Investment Setup

  For Professional, Retail (Investment), 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, 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · 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.

• Retail Investment Funds

• Manages Your Portfolio

  For Professional, Retail (Investment), 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, 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, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Limited to personal pension scheme activities and in carrying on such activities to the customer types "retail client" and "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 authorised unit trust operations and in carrying on these operations, to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer type "retail client".
  • · Limited to authorised unit trust scheme operations and in carrying on such activities to the specified investments listed other than "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "commodity future", "life policy", "funeral plan contract", and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments), for the customer type "retail client".
  • · The specified investments "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)" and "rights to or interests in investment - contractually based investments", (when the latter is associated with this specified investment), are limited to Efficient Portfolio Management activities and the customer type "retail client".

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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, 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.

• Christopher Flynn

  IRN CXF17066

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 27 Nov 2020)
  • CF11 Money Laundering Reporting (3 Oct 2019 to 8 Dec 2019)
• Christopher Stuart Rhodes

  IRN CSR01025

  • Director of firm who is not a certification employee or a SMF manager (29 Oct 2024 to 30 Nov 2025)
• Colin Denis Keogh

  IRN CDK01014

  • CF2 Non Executive Director (27 Jan 2010 to 15 Oct 2018)
• Daniel Marsh

  IRN DXM00448

  • SMF3 Executive Director (since 5 Dec 2025)
• Darrell Paul Evans

  IRN DPE01021

  • CF1 Director (5 Jun 2015 to 9 Dec 2015)
• Darren Scott Pope

  IRN DSD01037

  • CF2 Non Executive Director (1 Jan 2017 to 24 Oct 2019)
• David Cecil Clementi

  IRN DCC01124

  • CF2 Non Executive Director (28 Oct 2011 to 30 Jun 2015)
• David John Barnes

  IRN DXB02394

  • CF28 Systems and controls (8 Jun 2015 to 3 Oct 2017)
• David Jonathan Taylor

  IRN DXT00108

  • Director of firm who is not a certification employee or a SMF manager (29 Sep 2020 to 30 Apr 2024)
• David Joseph Duffy

  IRN DJD01181

  • CF3 Chief Executive (15 Oct 2018 to 31 Aug 2019)
  • CF1 Director (15 Oct 2018 to 31 Aug 2019)

• Virgin Red Limited (no longer appointed)

  FRN 947141 · Appointed 15 Jan 2024 · Until 30 Jun 2025

No changes recorded yet.