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.

• Bruce Simpson

  IRN BXS00368

  • [FCA CF] Material risk taker (22 Nov 2022 to 13 Jun 2025)
  • [FCA CF] Significant management (17 Nov 2022 to 13 Jun 2025)
• Carl Roothman

  IRN CXR10070

  • SMF9 Chair of the Governing Body (since 22 Apr 2022)
• Carole Costello

  IRN CXC01411

  • CF30 Customer (13 Oct 2015 to 9 Jan 2019)
• Christopher Greenland

  IRN CXG01584

  • [FCA CF] Client dealing (9 Dec 2019 to 13 Jun 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2022)
  • CF30 Customer (2 Feb 2016 to 8 Dec 2019)
• Christopher Nevin Rodgers

  IRN CNR01014

  • [FCA CF] Significant management (13 Oct 2022 to 31 Oct 2024)
  • [FCA CF] Material risk taker (13 Oct 2022 to 31 Oct 2024)
  • [FCA CF] Manager of certification employee (8 Feb 2022 to 31 Oct 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Jun 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (18 Jan 2007 to 11 Dec 2014)
  • CF27 Investment Management (18 Jan 2007 to 31 Oct 2007)
• Christopher Richard Ford

  IRN CRF01020

  • [FCA CF] Client dealing (1 Feb 2021 to 31 Dec 2023)
  • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 28 Jun 2022)
  • [FCA CF] Manager of certification employee (1 Feb 2021 to 31 Dec 2023)
• Christopher Turdean

  IRN CXT00072

  • [FCA CF] Client dealing (20 Apr 2020 to 17 Oct 2023)
  • [FCA CF] Functions requiring qualifications (20 Apr 2020 to 13 Jul 2022)
• Colin David McQueen

  IRN CDM01065

  • CF30 Customer (20 Oct 2010 to 24 May 2019)
• Conor Walsh

  IRN CXW01692

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2021)
  • CF30 Customer (6 Nov 2014 to 8 Dec 2019)
• Craig Lee Veysey

  IRN CLV01003

  • CF30 Customer (23 Jun 2017 to 15 Oct 2018)

• Sanlam UK Limited (no longer appointed)

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

No changes recorded yet.