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.

• Marco Ricci

  IRN MXR01168

  • CF30 Customer (1 Aug 2011 to 19 Jul 2017)
• Mark Adrian Boucher

  IRN MAB01241

  • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 30 Jun 2022)
  • [FCA CF] Client dealing (1 Feb 2021 to 31 Mar 2023)
  • [FCA CF] Manager of certification employee (1 Feb 2021 to 31 Mar 2023)
• Mark Andrew Swain

  IRN MAS01292

  • [FCA CF] Client dealing (1 Feb 2021 to 28 Feb 2023)
  • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 5 Jul 2022)
• Mark Christopher Davies

  IRN MCD01081

  • CF30 Customer (1 Nov 2007 to 29 Jan 2016)
  • CF26 Customer Trading (18 Jun 2007 to 31 Oct 2007)
• Mark Whitehead

  IRN MJW01234

  • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 5 Jul 2022)
  • [FCA CF] Manager of certification employee (1 Dec 2020 to 31 Dec 2023)
  • [FCA CF] Client dealing (1 Dec 2020 to 31 Dec 2023)
• Matthew Cutlan

  IRN JWM01130

  • [FCA CF] Significant management (30 Jun 2020 to 31 Dec 2021)
• Michael Pinggera

  IRN MPP01024

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Jul 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 13 Jun 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 13 Jun 2025)
  • CF29 Significant management (3 Dec 2018 to 8 Dec 2019)
  • CF30 Customer (3 Oct 2012 to 8 Dec 2019)
• Nadia van der Nest

  IRN NXV00056

  • [FCA CF] Material risk taker (25 Nov 2025 to 31 Mar 2026)
  • Director of firm who is not a certification employee or a SMF manager (22 Apr 2025 to 5 Dec 2025)
• Nellis Kromhout

  IRN NXK01236

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 12 Oct 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 12 Oct 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Oct 2021)
  • CF30 Customer (5 Jan 2015 to 8 Dec 2019)
• Nicholas Bell

  IRN NJB01299

  • [FCA CF] Functions requiring qualifications (1 Aug 2021 to 30 Jun 2022)
  • [FCA CF] Client dealing (1 Aug 2021 to 2 Dec 2022)
  • CF30 Customer (29 Apr 2019 to 8 Dec 2019)

• Sanlam UK Limited (no longer appointed)

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

No changes recorded yet.