SEILERN INVESTMENT MANAGEMENT LTD.

• Principal Place of Business

  Burdett House

  15-16 Buckingham Street

  London

  WC2N 6DU

  UNITED KINGDOM

  Phone

  +4402074941996

  Web

  https://www.seilerninvest.com

• Complaints Contact

  Burdett House

  15-16 Buckingham Street

  London

  WC2N 6DU

  UNITED KINGDOM

  Phone

  +442074941996

• 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

  Show 5 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  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

  Show 4 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Stockbroking

  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

  Show 3 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  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

  Show 4 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Manages Your Portfolio

  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

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Adriana Ciochon

  IRN AXC00754

  • [FCA CF] Material risk taker (8 Oct 2021 to 23 Dec 2022)
• Akash Bhanot

  IRN AXB04202

  • [FCA CF] Client dealing (since 31 Aug 2022)
  • [FCA CF] Material risk taker (31 Aug 2022 to 19 Jan 2024)
• Amanda Verity Royce

  IRN AVR01016

  • CF30 Customer (14 Feb 2014 to 9 Jul 2015)
• Andrew Joseph Keogh Leitch Munro

  IRN AXL00348

  • [FCA CF] Client dealing (since 1 May 2023)
  • [FCA CF] Material risk taker (1 May 2023 to 31 Oct 2023)
  • [FCA CF] Manager of certification employee (1 May 2023 to 20 Jun 2025)
• Anthony Michael Everett

  IRN AME01015

  • CF30 Customer (1 Nov 2007 to 1 Dec 2009)
  • CF21 Investment Adviser (22 May 2002 to 31 Oct 2007)
• Arne Zeidler

  IRN AXZ01358

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 3 Jan 2022)
  • CF2 Non Executive Director (19 Mar 2018 to 8 Dec 2019)
• Charalee May Hoelzl

  IRN CXH23378

  • [FCA CF] Client dealing (since 30 Sep 2022)
  • [FCA CF] Material risk taker (30 Sep 2022 to 19 Jan 2024)
• Christian Carl Ulrich Diebitsch

  IRN CCD01007

  • CF10 Compliance Oversight (3 Dec 2013 to 25 Jun 2014)
  • CF11 Money Laundering Reporting (24 May 2011 to 25 Jun 2014)
  • CF3 Chief Executive (24 May 2011 to 25 Jun 2014)
  • CF1 Director (7 Dec 2010 to 23 May 2014)
  • CF30 Customer (19 Aug 2009 to 15 Jul 2014)
• Christopher Jones

  IRN CXJ20419

  • [FCA CF] Client dealing (15 Feb 2021 to 12 May 2023)
  • [FCA CF] Material risk taker (15 Feb 2021 to 12 May 2023)
  • CF30 Customer (18 Sep 2019 to 8 Dec 2019)
• Clarissa Ann Berthoux

  IRN CAS01243

  • [FCA CF] Client dealing (2 Feb 2021 to 20 Jun 2025)
  • [FCA CF] Manager of certification employee (2 Feb 2021 to 14 Feb 2024)
  • [FCA CF] Material risk taker (2 Feb 2021 to 19 Jan 2024)
  • CF30 Customer (21 Sep 2015 to 8 Dec 2019)

• Thomas Stanley Rowan (no longer appointed)

  FRN 218738 · Appointed 11 Sep 2002 · Until 1 Dec 2009

• Anthony Michael Everett (no longer appointed)

  FRN 212011 · Appointed 22 May 2002 · Until 9 Jul 2015

No changes recorded yet.