Stonehage Fleming Investment Management Limited

• Principal Place of Business

  6 St. James's Square

  London

  SW1Y 4JU

  UNITED KINGDOM

  Phone

  +442070870000

  Web

  https://www.stonehagefleming.com

• Complaints Contact

  6 St. James's Square

  London

  SW1Y 4JU

  UNITED KINGDOM

  Phone

  +442070870000

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• 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, Funeral plan contract, 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, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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, Funeral plan contract, 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, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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, Funeral plan contract, 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, 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.

• Stockbroking

  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, Funeral plan contract, 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, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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, Funeral plan contract, 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, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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

• Specialist 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, Funeral plan contract, 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, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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.

• Claire Kostiaev

  IRN CXK01196

  • CF10 Compliance Oversight (1 Sep 2005 to 23 Feb 2007)
  • CF11 Money Laundering Reporting (1 Sep 2005 to 23 Feb 2007)
• DAN BORK MADSEN

  IRN DBM01063

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Sep 2025)
  • CF30 Customer (5 Jul 2011 to 8 Dec 2019)
• Daniel Axmer

  IRN DXA01345

  • CF30 Customer (1 Nov 2007 to 31 Dec 2016)
  • CF21 Investment Adviser (6 Sep 2007 to 31 Oct 2007)
  • CF27 Investment Management (6 Sep 2007 to 31 Oct 2007)
• Daniel James Young

  IRN DXY09071

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Sep 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 20 Sep 2021)
  • CF30 Customer (5 Dec 2018 to 8 Dec 2019)
• Daniel Nicholas Briggs

  IRN DNB01018

  • CF1 Director (14 Jun 2011 to 31 Oct 2013)
  • CF30 Customer (1 Oct 2010 to 31 Oct 2013)
• Danielle Louise Moss

  IRN DLM01110

  • CF30 Customer (17 May 2012 to 9 Nov 2012)
• David Faviell Fletcher

  IRN DFF01005

  • CF2 Non Executive Director (1 Jun 2015 to 5 Jun 2017)
  • CF1 Director (14 Apr 2009 to 14 Apr 2009)
  • CF28 Systems and controls (19 Mar 2009 to 7 Jan 2011)
• David John Donnelly

  IRN DJD01099

  • CF21 Investment Adviser (7 Jan 2004 to 25 Oct 2004)
• David Kenneth Maxwell

  IRN DKM01040

  • SMF16 Compliance Oversight (9 Dec 2019 to 18 Nov 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Nov 2020)
  • CF11 Money Laundering Reporting (3 Jan 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Jan 2018 to 8 Dec 2019)
• David Michael St Hill Beck

  IRN DMB01090

  • CF30 Customer (5 Nov 2012 to 18 Sep 2015)

No changes recorded yet.