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.

• Josef Svoboda

  IRN JXS15955

  • [FCA CF] Functions requiring qualifications (1 Jan 2022 to 27 Jun 2022)
  • [FCA CF] Client dealing (1 Jan 2022 to 13 Jun 2025)
• Joshay Harkoo

  IRN JXH00622

  • [FCA CF] Functions requiring qualifications (26 Apr 2021 to 30 Dec 2021)
  • [FCA CF] Client dealing (26 Apr 2021 to 30 Dec 2021)
• Justin Greeley

  IRN JLG01033

  • [FCA CF] Material risk taker (13 Oct 2022 to 31 Mar 2026)
  • [FCA CF] Significant management (13 Oct 2022 to 31 Mar 2026)
  • SMF3 Executive Director (9 Dec 2019 to 6 May 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 9 Mar 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Jun 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 9 Mar 2026)
  • CF1 Director (20 Jan 2015 to 8 Dec 2019)
  • CF30 Customer (5 Jan 2015 to 8 Dec 2019)
• Justin Heinz Joseph Maloney

  IRN JHM01040

  • CF30 Customer (8 Nov 2010 to 17 May 2013)
• Justine Lobel

  IRN JSC01186

  • [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 (31 Oct 2018 to 8 Dec 2019)
• Kevin Edward Ewer

  IRN KEE01008

  • CF30 Customer (19 Jan 2015 to 8 Oct 2015)
• Liz Adnitt

  IRN LXA01419

  • CF30 Customer (17 Nov 2015 to 8 Dec 2019)
• Lorenzo Dicorrado

  IRN LXD01367

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2020)
  • CF30 Customer (1 Nov 2011 to 8 Dec 2019)
• Louis Jamieson

  IRN LDJ01010

  • [FCA CF] Client dealing (9 Dec 2019 to 13 Jun 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Jul 2022)
  • CF30 Customer (18 May 2019 to 8 Dec 2019)
• Lukas Van der Walt

  IRN LXV01044

  • CF2 Non Executive Director (21 May 2013 to 20 Jan 2016)

• Sanlam UK Limited (no longer appointed)

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

No changes recorded yet.