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.

• Marco Daniele Lo Blanco

  IRN MXL12651

  • [FCA CF] Material risk taker (2 Feb 2021 to 19 Jan 2024)
  • [FCA CF] Client dealing (2 Feb 2021 to 31 Dec 2024)
  • CF30 Customer (16 Mar 2019 to 8 Dec 2019)
• Markus Pejacsevich

  IRN MXP01828

  • CF30 Customer (14 Jul 2009 to 12 Jul 2010)
• Mathew Ivo Hubert Boys Forde

  IRN MIF01005

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 5 Apr 2023)
  • CF2 Non Executive Director (5 Jul 2018 to 8 Dec 2019)
• Matthew Eric Pfaff

  IRN MEP01049

  • CF27 Investment Management (27 Apr 2004 to 8 Sep 2005)
  • CF21 Investment Adviser (27 Apr 2004 to 8 Sep 2005)
• Michael Bray

  IRN MXB01410

  • [FCA CF] Client dealing (since 11 Jun 2024)
• Michael Edward Scott Boyd

  IRN MEB01056

  • CF30 Customer (1 Nov 2007 to 8 Oct 2013)
  • CF11 Money Laundering Reporting (2 Feb 2005 to 28 Apr 2011)
  • CF3 Chief Executive (1 Feb 2005 to 8 Oct 2013)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Oct 2013)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Oct 2013)
• Michael Joseph Faherty

  IRN MJF01321

  • [FCA CF] Client dealing (since 31 Mar 2021)
  • [FCA CF] Material risk taker (31 Mar 2021 to 19 Jan 2024)
  • CF30 Customer (20 Oct 2016 to 8 Dec 2019)
• Nian Yu

  IRN NXY00016

  • [FCA CF] Client dealing (since 30 Mar 2021)
  • [FCA CF] Material risk taker (30 Mar 2021 to 19 Jan 2024)
• Nikhil Abraham Jacob

  IRN NXJ09984

  • [FCA CF] Client dealing (since 10 Jan 2022)
  • [FCA CF] Material risk taker (10 Jan 2022 to 31 Oct 2023)
• Olivia Harrison

  IRN OXH00049

  • [FCA CF] Client dealing (since 16 Nov 2020)
  • [FCA CF] Material risk taker (16 Nov 2020 to 31 Oct 2023)

• 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.