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.

• Ovidiu Patrascu

  IRN ODP01007

  • CF30 Customer (25 Jun 2014 to 13 May 2016)
• Peri Nicola Simpson

  IRN PXS00357

  • [FCA CF] Material risk taker (2 Feb 2021 to 31 Oct 2023)
• Peter Seilern-Aspang

  IRN PXS01280

  • [FCA CF] Material risk taker (4 Jan 2021 to 19 Jan 2024)
  • [FCA CF] Significant management (4 Jan 2021 to 14 Feb 2024)
  • SMF9 Chair of the Governing Body (27 Feb 2020 to 31 Dec 2024)
  • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF3 Chief Executive (1 Dec 2001 to 28 Jan 2005)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Feb 2005)
• Quentin Norman Clement Macfarlane

  IRN QNM01003

  • [FCA CF] Client dealing (since 30 Mar 2021)
  • [FCA CF] Material risk taker (30 Mar 2021 to 19 Jan 2024)
  • CF30 Customer (15 Mar 2019 to 8 Dec 2019)
• Raphael Pitoun

  IRN RXP01640

  • CF1 Director (28 Oct 2014 to 18 May 2018)
  • CF30 Customer (25 Jun 2014 to 18 May 2018)
• Robert Drysdale

  IRN RXD01232

  • CF30 Customer (1 Nov 2007 to 31 Jul 2009)
  • CF21 Investment Adviser (21 Dec 2004 to 31 Oct 2007)
• Roselyn Baah

  IRN RXB02810

  • [FCA CF] Manager of certification employee (20 Apr 2022 to 8 Sep 2023)
  • [FCA CF] Significant management (4 Jan 2021 to 8 Sep 2023)
  • [FCA CF] Material risk taker (4 Jan 2021 to 8 Sep 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Sep 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 8 Sep 2023)
  • CF10 Compliance Oversight (8 Oct 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (8 Oct 2018 to 8 Dec 2019)
• Stuart Gunderson

  IRN SXG01798

  • SMF3 Executive Director (since 2 Jun 2021)
  • [FCA CF] Client dealing (since 2 Feb 2021)
  • SMF16 Compliance Oversight (24 Nov 2023 to 31 Oct 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (24 Nov 2023 to 31 Oct 2025)
  • [FCA CF] Material risk taker (2 Feb 2021 to 8 Mar 2024)
  • [FCA CF] Significant management (2 Feb 2021 to 12 Feb 2024)
  • [FCA CF] Manager of certification employee (2 Feb 2021 to 12 Feb 2024)
• Tassilo Seilern-Aspang

  IRN TXS01726

  • [FCA CF] Client dealing (since 4 Jan 2021)
  • SMF1 Chief Executive (since 5 Oct 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (4 Jan 2021 to 12 Feb 2024)
  • [FCA CF] Material risk taker (4 Jan 2021 to 19 Jan 2024)
  • [FCA CF] Significant management (4 Jan 2021 to 12 Feb 2024)
  • CF1 Director (1 Jul 2015 to 8 Dec 2019)
  • CF30 Customer (11 Feb 2013 to 8 Dec 2019)
• Thomas Stanley Rowan

  IRN TSR01015

  • CF30 Customer (1 Nov 2007 to 1 Dec 2009)
  • CF21 Investment Adviser (17 Sep 2002 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.