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

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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.

• Thomas George Wells

  IRN TGW01036

  • [FCA CF] Manager of certification employee (1 Jan 2022 to 13 Jun 2025)
  • [FCA CF] Client dealing (1 Feb 2021 to 13 Jun 2025)
  • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 27 Jun 2022)
• Thomas Theodore Freysen

  IRN TXF15409

  • CF30 Customer (28 May 2019 to 8 Dec 2019)
• Thomas Van Heerden

  IRN TXV00006

  • Director of firm who is not a certification employee or a SMF manager (26 Oct 2020 to 24 Feb 2025)
• Timothy Selwyn Day

  IRN TSD01006

  • [FCA CF] Client dealing (1 Feb 2021 to 31 Dec 2023)
  • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 5 Jul 2022)
• Tom Somers

  IRN TXS03807

  • [FCA CF] Client dealing (6 Jul 2022 to 9 Mar 2026)
• VALERIE Evans

  IRN VJE01001

  • [FCA CF] Manager of certification employee (since 13 Oct 2022)
  • [FCA CF] Material risk taker (since 13 Oct 2022)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (15 Jun 2021 to 13 Jul 2022)
  • CF10 Compliance Oversight (28 Feb 2011 to 20 Mar 2018)
  • CF11 Money Laundering Reporting (28 Feb 2011 to 1 Oct 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (13 Aug 2007 to 31 Oct 2007)
  • CF26 Customer Trading (13 Aug 2007 to 31 Oct 2007)
• Warren King

  IRN WXK06181

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Jun 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 3 May 2024)
  • CF30 Customer (17 Sep 2018 to 8 Dec 2019)
• Will Jackson-Bream

  IRN WXJ00032

  • [FCA CF] Significant management (11 Jul 2022 to 31 Oct 2025)
  • [FCA CF] Material risk taker (11 Jul 2022 to 31 Oct 2025)

• Sanlam UK Limited (no longer appointed)

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

No changes recorded yet.