SLATER INVESTMENTS LIMITED

• Principal Place of Business

  Slater Investments

  Nicholas House

  3 Laurence Pountney Hill

  London

  City Of London

  EC4R 0EU

  UNITED KINGDOM

  Phone

  +442072209460

  Web

  https://www.slaterinvestments.com

• Complaints Contact

  Nicholas House

  3 Laurence Pountney Hill

  London

  EC4R 0EU

  UNITED KINGDOM

  Phone

  +442072209460

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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), Share, Spread Bet, 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 Eligible Counterparty, Professional, Retail (Investment), 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, 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), Share, Spread Bet, Stakeholder pension scheme, 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 Eligible Counterparty, Professional, Retail (Investment), 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), 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Share, Spread Bet, Stakeholder pension scheme, 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.

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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), Share, Spread Bet, Stakeholder pension scheme, 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

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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), Share, Spread Bet, Stakeholder pension scheme, 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.

• Electronic Trade Settlement

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

• Adrian Bambur

  IRN AXB04252

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 18 Jul 2024)
  • [FCA CF] Client dealing (since 10 Jan 2024)
• Alastair John Naisbitt King

  IRN AXK01362

  • Director of firm who is not a certification employee or a SMF manager (since 26 Nov 2025)
  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 7 Nov 2024)
  • CF2 Non Executive Director (22 Oct 2019 to 8 Dec 2019)
• Barrie John Newton

  IRN BJN01005

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Dec 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 2 Dec 2025)
  • CF30 Customer (4 Jun 2014 to 8 Dec 2019)
  • CF29 Significant management (16 Jun 2008 to 8 Mar 2018)
• Charles Willis

  IRN CXW00627

  • [FCA CF] Functions requiring qualifications (18 Jul 2024 to 20 Feb 2026)
  • [FCA CF] Client dealing (10 Jan 2024 to 20 Feb 2026)
• Christopher Francis Pritchard

  IRN CXP00034

  • [FCA CF] Client dealing (4 Jan 2021 to 23 Dec 2022)
  • [FCA CF] Proprietary trader (13 Jul 2020 to 4 Jan 2021)
• Conor McCarthy

  IRN CXM01390

  • CF30 Customer (31 Mar 2012 to 19 Apr 2012)
• Corinne Wendy Lee

  IRN CWL01042

  • Director of firm who is not a certification employee or a SMF manager (7 Nov 2024 to 30 Jan 2026)
• Daniel Dooley

  IRN DXD00215

  • [FCA CF] Client dealing (23 Aug 2021 to 22 Nov 2021)
• Elizabeth McCracken Partenza

  IRN EMP01040

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (30 Apr 2010 to 17 Feb 2016)
• Eric Ronald Moore

  IRN EXM01085

  • [FCA CF] Client dealing (since 1 Apr 2022)
  • [FCA CF] Material risk taker (1 Apr 2022 to 27 Jun 2025)

No changes recorded yet.