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.

• Karen Stanley

  IRN KXS01552

  • CF28 Systems and controls (21 Feb 2011 to 30 Jun 2012)
  • CF1 Director (28 Jun 2007 to 30 Jun 2012)
• Katharine Diana Munday

  IRN KDM01011

  • [FCA CF] Significant management (1 Feb 2021 to 1 Aug 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Aug 2022)
  • CF10a CASS Oversight function (1 Feb 2017 to 20 Feb 2019)
  • CF2 Non Executive Director (8 Apr 2015 to 25 Jan 2017)
  • CF1 Director (26 Feb 2010 to 8 Apr 2015)
  • CF28 Systems and controls (21 Jul 2009 to 7 Jan 2011)
• Katie Angela Mundell

  IRN KAM01207

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 24 May 2021)
  • SMF16 Compliance Oversight (since 24 May 2021)
• Keith David Felton

  IRN KDF01005

  • CF28 Systems and controls (1 Nov 2007 to 13 Mar 2009)
  • CF1 Director (8 Nov 2004 to 13 Mar 2009)
  • CF13 Finance (8 Nov 2004 to 31 Oct 2007)
• Kirsten Boldarin

  IRN KXG01326

  • CF30 Customer (9 Sep 2015 to 16 Aug 2018)
• Kunaal Dinesh Vora

  IRN KDV01004

  • [FCA CF] Client dealing (9 Dec 2019 to 24 Jan 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Jan 2023)
  • CF30 Customer (13 Mar 2017 to 8 Dec 2019)
• Lucy Claire Tilley

  IRN LCH01011

  • SMF3 Executive Director (since 15 Sep 2025)
• Lucy Goldman

  IRN LXS00114

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 5 Mar 2025)
  • [FCA CF] Client dealing (since 5 Mar 2025)
• Lucy Jane Sutro

  IRN LJS01043

  • CF30 Customer (1 Nov 2007 to 24 Jun 2009)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 24 Jun 2009)
• Margaret Ann Kilcoyne

  IRN MXK00253

  • [FCA CF] Significant management (9 Dec 2019 to 31 Jan 2021)

No changes recorded yet.