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.

• Khalid Rahim

  IRN KXR01117

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 5 Mar 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 5 Mar 2003)
  • CF1 Director (1 Dec 2001 to 5 Mar 2003)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 5 Mar 2003)
  • CF3 Chief Executive (1 Dec 2001 to 5 Mar 2003)
  • CF27 Investment Management (1 Dec 2001 to 5 Mar 2003)
• Marcus Hand

  IRN MXH01895

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 12 May 2020)
  • CF11 Money Laundering Reporting (1 Aug 2014 to 8 Dec 2019)
• Michael Hughes

  IRN MXH01298

  • CF2 Non Executive Director (15 Apr 2009 to 1 Mar 2019)
• Nicholas John Forman Hardy

  IRN NJF01052

  • CF2 Non Executive Director (1 Dec 2001 to 1 Mar 2019)
• Paul Edward Selway-Swift

  IRN PES01041

  • CF2 Non Executive Director (1 Dec 2001 to 19 Feb 2009)
• Peter Anthony Letley

  IRN PAL01105

  • CF1 Director (14 Jul 2009 to 1 Mar 2019)
  • CF28 Systems and controls (14 Jul 2009 to 30 Jun 2015)
  • CF3 Chief Executive (14 Jul 2009 to 30 Jun 2015)
• Peter Broomhall Askew

  IRN PBA01005

  • [FCA CF] Material risk taker (21 Dec 2020 to 30 Aug 2024)
  • [FCA CF] Client dealing (21 Dec 2020 to 30 Aug 2024)
  • SMF3 Executive Director (9 Dec 2019 to 30 Aug 2024)
  • SMF1 Chief Executive (9 Dec 2019 to 30 Aug 2024)
  • CF1 Director (30 Jun 2015 to 8 Dec 2019)
  • CF3 Chief Executive (30 Jun 2015 to 8 Dec 2019)
  • CF30 Customer (18 Jun 2013 to 8 Dec 2019)
• Quentin James Frank Baer

  IRN QJB01004

  • CF2 Non Executive Director (27 Feb 2007 to 1 Mar 2019)
• Richard James Bonney

  IRN RJB01569

  • CF1 Director (30 Jun 2015 to 1 Feb 2018)
• Richard John Taylor

  IRN RJT01075

  • CF1 Director (30 Jun 2015 to 31 Oct 2019)
  • CF30 Customer (1 Nov 2007 to 17 Dec 2007)
  • CF29 Significant management (1 Nov 2007 to 2 Sep 2009)
  • CF10 Compliance Oversight (1 Jan 2006 to 31 Oct 2019)
  • CF11 Money Laundering Reporting (1 Jan 2006 to 1 Aug 2014)
  • CF20 Significant Mgt (Settlements) (11 May 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.