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.

• Elizabeth Hammond

  IRN EXH00298

  • [FCA CF] Material risk taker (6 Nov 2023 to 19 Mar 2025)
  • [FCA CF] Significant management (6 Nov 2023 to 19 Mar 2025)
• Gary Robert Paulus

  IRN GRP01053

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Jan 2026)
  • SMF16 Compliance Oversight (since 2 Jan 2026)
• George Richard Kenneth Dobson

  IRN GXD00118

  • [FCA CF] Client dealing (1 Jan 2022 to 27 Sep 2023)
  • [FCA CF] Functions requiring qualifications (1 Jan 2022 to 27 Jun 2022)
• Giles Worthington

  IRN GXW00126

  • [FCA CF] Client dealing (1 Feb 2021 to 31 Dec 2023)
  • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 23 Sep 2022)
• Gregg Charles Bridger

  IRN GCB01047

  • CF30 Customer (27 May 2010 to 29 Sep 2017)
• Guillaume Desqueyroux

  IRN GJD01113

  • [FCA CF] Functions requiring qualifications (17 Apr 2020 to 5 Jul 2022)
  • [FCA CF] Client dealing (17 Apr 2020 to 16 Aug 2023)
• Hannah Gooch-Peters

  IRN HXG00194

  • [FCA CF] Client dealing (1 Feb 2024 to 13 Jun 2025)
• Haydn Franckeiss

  IRN HXF01193

  • CF2 Non Executive Director (20 Sep 2016 to 8 Dec 2019)
• Haydn Mark Franckeiss

  IRN HXF37106

  • SMF3 Executive Director (29 May 2020 to 1 Aug 2025)
  • SMF1 Chief Executive (29 May 2020 to 1 Aug 2025)
• Hendrik Jurgens Pfaff

  IRN HJP01019

  • CF2 Non Executive Director (21 Dec 2009 to 21 Feb 2013)

• Sanlam UK Limited (no longer appointed)

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

No changes recorded yet.