Rossie House Investment Management LLP

• Principal Place of Business

  50 Moray Place

  Edinburgh

  Midlothian

  EH3 6BQ

  UNITED KINGDOM

  Phone

  +441314773720

  Web

  https://www.rossiehouse.com

• Complaints Contact

  50 Moray Place

  Edinburgh

  Midlothian

  EH3 6BQ

  UNITED KINGDOM

  Phone

  +441314773720

• Investment Advice (no pensions)

  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, 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 3 limitations 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.
  • · Limited to investment management activities for the specified customer types.
  • · Limited to advisory-only activities and in carrying on such activities to the customer type "retail client".

• 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, 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, 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 3 limitations 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.
  • · Limited to investment management activities for the specified customer types.
  • · 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).

• 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, 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), 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 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, 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations 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.
  • · Limited to investment management activities for the specified customer types.

• Investment Setup

  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, 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations 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.
  • · Limited to investment management activities for the specified customer types.

• Manages Your Portfolio

  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, 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), 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.

• . HIML Holdings

  IRN XXH01148

  • CF4 Partner (1 Jun 2018 to 5 Dec 2019)
• Alasdair North Grant Laing

  IRN ANL01031

  • CF4 Partner (1 Jun 2018 to 5 Dec 2019)
• Alexander Quentin Richard Cross

  IRN AQC01001

  • 16. Safeguarding and administering investments or holding client money
  • 17. Administrative functions in relation to managing investments
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2019)
  • CF4 Partner (1 Jun 2018 to 8 Dec 2019)
  • CF30 Customer (1 Jun 2018 to 8 Dec 2019)
• Andrew Scott McLean

  IRN AXM03929

  • CF30 Customer (1 Jun 2018 to 31 Dec 2018)
• Charles Cox

  IRN CRC01060

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2020)
  • CF10 Compliance Oversight (1 Jun 2018 to 11 Jun 2019)
  • CF11 Money Laundering Reporting (1 Jun 2018 to 11 Jun 2019)
  • CF30 Customer (1 Jun 2018 to 8 Dec 2019)
  • CF4 Partner (1 Jun 2018 to 5 Dec 2019)
• Charles Lachlan MacDonald

  IRN CLM01029

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 16. Safeguarding and administering investments or holding client money
  • 17. Administrative functions in relation to managing investments
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2019)
  • CF30 Customer (1 Jun 2018 to 8 Dec 2019)
  • CF4 Partner (1 Jun 2018 to 8 Dec 2019)
• David Brett Nichol

  IRN DBN01004

  • CF4 Partner (1 Jun 2018 to 5 Dec 2019)
• George Dominic Mackintosh Warre

  IRN GDW01081

  • CF4 Partner (1 Jun 2018 to 5 Dec 2019)
• Jean Kemmis-Matterson

  IRN JGM01048

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2020)
  • CF4 Partner (1 Jun 2018 to 5 Dec 2019)
  • CF30 Customer (1 Jun 2018 to 8 Dec 2019)
• Lucy Isabella Robinson

  IRN LXR00447

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 17. Administrative functions in relation to managing investments
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 23 Mar 2026)
  • [FCA CF] Client dealing (since 23 Mar 2026)

No changes recorded yet.