Seven Investment Management LLP

• Principal Place of Business

  Seven Investment Management

  1 Angel Court

  London

  City Of London

  EC2R 7HJ

  UNITED KINGDOM

  Phone

  +4402077608777

  Web

  https://www.7im.co.uk

• Complaints Contact

  Seven Investment Management

  1 Angel Court

  London

  City Of London

  EC2R 7HJ

  UNITED KINGDOM

  Phone

  +4402077608777

• Investment Advice (no pensions)

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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.

• 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 Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, 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.

• Credit Brokering

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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.

• Trades With You Directly

  For Professional, Retail (Investment), Rights to or interests in investments (Security), Unit

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  • · Limited to Investment Companies with Variable Capital box management activities.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Investment Setup

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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.

• Retail Investment Funds

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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

  Show 1 limitation Hide limitations

  • · 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.

• Darren Shaun Fancourt

  IRN DXF01348

  • [FCA CF] Material risk taker (since 9 May 2023)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Mar 2013 to 8 Dec 2019)
• David Carroll

  IRN DXC01482

  • CF4 Partner (18 Sep 2013 to 7 Nov 2018)
  • CF30 Customer (1 Mar 2013 to 7 Nov 2018)
• David Cropper Ogden

  IRN DCO01010

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Mar 2020)
  • CF11 Money Laundering Reporting (1 Mar 2013 to 8 Dec 2019)
• David Fry

  IRN DJF01172

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 17 Dec 2025)
  • [FCA CF] Material risk taker (since 8 Jul 2024)
  • [FCA CF] Client dealing (since 1 Mar 2024)
  • [FCA CF] Functions requiring qualifications (since 1 Mar 2024)
  • CF30 Customer (since 26 Nov 2023)
  • CF1 Director (AR) (26 Nov 2023 to 30 Apr 2024)
• David Richard Little

  IRN DRL01062

  • [FCA CF] Client dealing (8 Nov 2024 to 29 Apr 2025)
  • [FCA CF] Functions requiring qualifications (13 Feb 2024 to 29 Apr 2025)
• David Thomas McAree Young

  IRN DTY01004

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
• Dean Proctor

  IRN DMP01108

  • [FCA CF] Material risk taker (since 8 Jul 2024)
  • CF1 Director (AR) (since 19 Feb 2024)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (28 May 2019 to 8 Dec 2019)
  • CF3 Chief Executive (28 May 2019 to 8 Dec 2019)
• Dennis Bryan Daniel McGrath

  IRN DBM01050

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 Oct 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 6 Oct 2021)
  • CF30 Customer (7 Dec 2018 to 8 Dec 2019)
• Duncan Edward Johnson

  IRN DEJ01015

  • CF2 Non Executive Director (8 Sep 2015 to 8 Dec 2019)
• Duncan Richard Walker

  IRN DXW24499

  • [FCA CF] Material risk taker (since 9 Jul 2024)
  • CF1 Director (AR) (since 8 Mar 2024)
  • SMF27 Partner (since 28 Sep 2020)

• Amicus Wealth Ltd

  FRN 613676 · Appointed 27 Oct 2023

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