T. Bailey Asset Management Limited

• Principal Place of Business

  Toll Bar House

  Landmere Lane

  Edwalton

  Nottingham

  NG12 4DG

  UNITED KINGDOM

  Phone

  +4401156660470

  Web

  https://tbaileyam.co.uk

• Complaints Contact

  Toll Bar House

  Landmere Lane

  Edwalton

  Nottingham

  NG12 4DG

  UNITED KINGDOM

  Phone

  +4401156660470

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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), 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 5 limitations Hide limitations

  • · Limited to collective investment scheme marketing activities
  • · 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 advisory-only activities.

• 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, 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

  Show 4 limitations Hide limitations

  • · Limited to collective investment scheme marketing activities.
  • · 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.

• 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

  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.

• 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, 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

  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, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to collective investment scheme marketing activities
  • · 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.

• 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, 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 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.

• Andrew Robert Thomas Groves

  IRN ARG01077

  • CF21 Investment Adviser (10 Oct 2003 to 30 Apr 2005)
• Brian James Gratton

  IRN BJG00007

  • CF30 Customer (1 Nov 2007 to 14 Apr 2008)
  • CF21 Investment Adviser (7 Mar 2006 to 31 Oct 2007)
• Burr Noland Carter

  IRN BNC01011

  • SMF9 Chair of the Governing Body (since 10 Sep 2024)
  • Director of firm who is not a certification employee or a SMF manager (15 Jul 2020 to 10 Sep 2024)
• David William Gronow

  IRN DXG00130

  • [FCA CF] Client dealing (21 Dec 2020 to 30 Jun 2022)
• Elliot Neil Farley

  IRN ENF01002

  • SMF1 Chief Executive (since 5 Sep 2024)
  • [FCA CF] Client dealing (since 21 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Material risk taker (21 Dec 2020 to 2 Dec 2025)
  • CF1 Director (30 Jun 2015 to 8 Dec 2019)
  • CF29 Significant management (1 Nov 2007 to 2 Sep 2009)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF20 Significant Mgt (Settlements) (11 May 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 31 Oct 2007)
• George Benjamin Karr Ridley

  IRN GBR01009

  • [FCA CF] Client dealing (since 6 Feb 2024)
• Iain Collett

  IRN IXC01204

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 May 2020)
  • SMF3 Executive Director (since 11 May 2020)
  • SMF16 Compliance Oversight (since 11 May 2020)
• Jacqueline Lowe

  IRN JXK01103

  • SMF9 Chair of the Governing Body (9 Dec 2019 to 30 Aug 2024)
  • CF2 Non Executive Director (29 Mar 2019 to 8 Dec 2019)
• James Farquhar Robin Campbell

  IRN JFC01042

  • CF2 Non Executive Director (6 Jan 2005 to 21 May 2009)
• Jason Kevin Britton

  IRN JKB01053

  • CF3 Chief Executive (1 Dec 2007 to 14 Jul 2009)
  • CF28 Systems and controls (1 Nov 2007 to 14 Jul 2009)
  • CF30 Customer (1 Nov 2007 to 28 Mar 2011)
  • CF29 Significant management (1 Nov 2007 to 14 Jul 2009)
  • CF20 Significant Mgt (Settlements) (20 May 2005 to 31 Oct 2007)
  • CF1 Director (20 May 2005 to 28 Mar 2011)
  • CF16 Significant Mgt (Desgntd Investment Business) (12 May 2004 to 31 Oct 2007)
  • CF27 Investment Management (4 Nov 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (4 Nov 2003 to 31 Oct 2007)
  • CF13 Finance (15 Nov 2002 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 4 Nov 2003)

No changes recorded yet.