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.

• Cynthia Mary Elizabeth Tusting

  IRN CMB01235

  • CF30 Customer (22 Nov 2018 to 8 Aug 2019)
• Daniel Szabo

  IRN DZS01001

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Oct 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 12 Oct 2021)
  • CF30 Customer (25 Oct 2018 to 8 Dec 2019)
• Darren Marc Reece

  IRN DMR01058

  • [FCA CF] Client dealing (17 Apr 2020 to 7 Oct 2022)
  • [FCA CF] Functions requiring qualifications (17 Apr 2020 to 5 Jul 2022)
• David John Mason

  IRN DJM01690

  • SMF3 Executive Director (9 Dec 2019 to 6 May 2022)
  • CF1 Director (10 Jul 2018 to 8 Dec 2019)
• David Joseph Dixon

  IRN DJD00017

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 May 2022)
  • CF11 Money Laundering Reporting (10 Oct 2016 to 8 Dec 2019)
• Dayleen van Zyl

  IRN DXV08888

  • [FCA CF] Significant management (9 Dec 2019 to 29 Apr 2022)
• Derrick William Dunne

  IRN DWD01024

  • CF30 Customer (1 Nov 2007 to 18 Nov 2016)
  • CF8 Apportionment and Oversight (18 Jan 2007 to 31 Oct 2007)
  • CF3 Chief Executive (18 Jan 2007 to 18 Nov 2016)
  • CF27 Investment Management (18 Jan 2007 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (18 Jan 2007 to 28 Feb 2011)
  • CF10 Compliance Oversight (18 Jan 2007 to 28 Feb 2011)
  • CF1 Director (18 Jan 2007 to 18 Nov 2016)
• Dino Fuschillo

  IRN DXF01088

  • CF1 Director (30 Jun 2009 to 11 Dec 2014)
  • CF30 Customer (30 Jun 2009 to 30 Jun 2017)
• Duncan James Burden

  IRN DJB01594

  • CF30 Customer (25 Jul 2017 to 30 Mar 2018)
• Edward John Williams

  IRN EJW01032

  • CF30 Customer (1 Nov 2007 to 31 Dec 2015)
  • CF1 Director (18 Jan 2007 to 11 Dec 2014)
  • CF27 Investment Management (18 Jan 2007 to 31 Oct 2007)

• Sanlam UK Limited (no longer appointed)

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

No changes recorded yet.