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.

• Nicola Jane Fraser

  IRN NXB01404

  • SMF3 Executive Director (6 Nov 2020 to 6 May 2022)
  • CF1 Director (AR) (2 Sep 2020 to 31 Dec 2021)
• Nigel Cobby

  IRN NXC01104

  • CF2 Non Executive Director (18 Jan 2007 to 22 Nov 2011)
• Paris Amber Jordan

  IRN PXJ17352

  • CF30 Customer (18 Jul 2019 to 8 Dec 2019)
• Paul Stefan Zoltowski

  IRN PSZ01004

  • CF30 Customer (1 Nov 2012 to 30 Jun 2017)
• Paul Wilson

  IRN PXW00385

  • [FCA CF] Significant management (8 Jun 2023 to 9 Mar 2026)
  • [FCA CF] Material risk taker (8 Jun 2023 to 9 Mar 2026)
• Peter Doherty

  IRN PSD01029

  • [FCA CF] Manager of certification employee (17 Apr 2020 to 17 Oct 2023)
  • [FCA CF] Client dealing (17 Apr 2020 to 17 Oct 2023)
  • [FCA CF] Functions requiring qualifications (17 Apr 2020 to 28 Jun 2022)
• Philip John Hardy

  IRN PJH01252

  • CF30 Customer (11 Nov 2013 to 31 Jul 2014)
• Pieter Fourie

  IRN PAF01056

  • [FCA CF] Material risk taker (11 Nov 2022 to 13 Jun 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 13 Jun 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 13 Jun 2025)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• Pieter Francois Daniel Kotze

  IRN PFK01013

  • CF30 Customer (13 Jul 2017 to 15 Oct 2018)
• Rajesh Tanna

  IRN RXT01125

  • CF30 Customer (17 Sep 2009 to 1 May 2011)

• Sanlam UK Limited (no longer appointed)

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

No changes recorded yet.