Sanlam Investments UK Limited

• Principal Place of Business

  C/o CMS Cameron McKenna Nabarro Olswang LLP (“CMS”)

  Cannon Place, 78 Cannon Street

  London

  EC4N 6AF,

  UNITED KINGDOM

  Phone

  +442031164000

  Web

  https://www.sanlam.co.uk

• Complaints Contact

  C/o CMS Cameron McKenna Nabarro Olswang LLP (“CMS”),

  Cannon Place, 78 Cannon Street,

  London

  City Of London

  EC4N 6AF

  UNITED KINGDOM

  Phone

  +442031164000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, 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, 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, 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, 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), Share, Stakeholder pension scheme, 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, 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, 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, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, 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.

• Richard Anthony Muckle

  IRN RAM01166

  • CF26 Customer Trading (6 Feb 2007 to 15 Jun 2007)
• Robert Roux

  IRN RXR01369

  • CF2 Non Executive Director (28 Feb 2013 to 3 Oct 2016)
• Sachin Sehgal

  IRN SXS02139

  • CF30 Customer (1 Nov 2007 to 31 May 2013)
  • CF26 Customer Trading (31 Jan 2007 to 31 Oct 2007)
• Samuel Duncombe

  IRN SXD02236

  • CF30 Customer (21 Jul 2015 to 12 Feb 2016)
• Simon Gregory

  IRN SFG01028

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2020)
  • CF30 Customer (5 Aug 2014 to 8 Dec 2019)
• Stephen Charles Walker

  IRN SCW01037

  • CF30 Customer (1 Oct 2010 to 15 Apr 2019)
• Steven Richards

  IRN SAR01058

  • CF30 Customer (10 Oct 2019 to 8 Dec 2019)
• Tahia Tahmin

  IRN TXT00042

  • [FCA CF] Functions requiring qualifications (16 Mar 2020 to 12 Oct 2021)
  • [FCA CF] Client dealing (16 Mar 2020 to 12 Oct 2021)
• Thomas Ball

  IRN TWB01044

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Jun 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 13 Jun 2025)
  • CF30 Customer (22 May 2019 to 8 Dec 2019)
• Thomas Carroll

  IRN TJC01072

  • SMF3 Executive Director (9 Dec 2019 to 11 Mar 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (18 Jan 2007 to 31 Oct 2007)
  • CF1 Director (18 Jan 2007 to 8 Dec 2019)

• Sanlam UK Limited (no longer appointed)

  FRN 565824 · Appointed 1 Aug 2015 · Until 31 Dec 2021

No changes recorded yet.