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.

• Corentin Yves Francois Massin

  IRN CYM01002

  • [FCA CF] Client dealing (since 15 Feb 2021)
  • [FCA CF] Material risk taker (15 Feb 2021 to 19 Jan 2024)
  • CF30 Customer (14 Feb 2014 to 8 Dec 2019)
• Dah Hui Lau

  IRN DHL01041

  • CF30 Customer (21 Jan 2010 to 15 Jan 2014)
• David Charles Robert Desmond

  IRN DCD01036

  • CF30 Customer (1 Nov 2007 to 6 Jan 2010)
  • CF27 Investment Management (1 Oct 2002 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Oct 2002 to 31 Oct 2007)
• Eric Kwan

  IRN EWK01005

  • CF27 Investment Management (27 Sep 2002 to 1 Mar 2005)
  • CF21 Investment Adviser (27 Sep 2002 to 1 Mar 2005)
• Fatima Al-Ajami

  IRN FXA00060

  • [FCA CF] Material risk taker (2 Feb 2021 to 31 Oct 2023)
• Felicity Jane Pilkington

  IRN FJP01026

  • CF30 Customer (14 Aug 2008 to 28 May 2009)
• Fernando Tomas De Leon

  IRN FTD01006

  • [FCA CF] Client dealing (30 Mar 2021 to 31 Dec 2021)
  • [FCA CF] Material risk taker (30 Mar 2021 to 31 Dec 2021)
  • CF30 Customer (19 Feb 2015 to 8 Dec 2019)
• Francis Seilern-Aspang

  IRN FXS01047

  • Director of firm who is not a certification employee or a SMF manager (since 26 Feb 2025)
  • CF2 Non Executive Director (1 Dec 2001 to 8 Dec 2019)
• Georg Leslie Thaddaus Heinrich Paul Reutter

  IRN GLR01027

  • Director of firm who is not a certification employee or a SMF manager (since 17 Jan 2025)
• Giles David Warren

  IRN GDW01034

  • CF30 Customer (1 Nov 2007 to 28 Jul 2014)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

• 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.