TAM Asset Management Ltd

Date authorised
1 April 2013
Companies House
04077709
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Tam Asset Management Ltd
    One Leadenhall, Level 23
    1 Leadenhall Street
    London
    City Of London
    EC3V 1AB
    UNITED KINGDOM
    Phone
    +4402075497650
    Web
    https://www.tamassetmanagement.com

  • Complaints Contact

    Tam Asset Management Ltd
    One Leadenhall Level 23
    1 Leadenhall Street
    London
    City Of London
    EC3V 1AB
    UNITED KINGDOM
    Phone
    +4402075497650

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Unit

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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, 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, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · 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, 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, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · 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, 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, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Investment Setup

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • David Alan Facey

    IRN DAF01047

    • CF1 Director (3 Jul 2008 to 1 Jul 2010)
    • CF30 Customer (1 Nov 2007 to 1 Jul 2010)
    • CF21 Investment Adviser (21 Feb 2006 to 31 Oct 2007)
  • David Anthony Guest

    IRN DAG01087

    • CF27 Investment Management (17 Jan 2005 to 21 Jul 2006)
    • CF21 Investment Adviser (17 Jan 2005 to 21 Jul 2006)
  • David Battersby

    IRN DRB01087

    • CF30 Customer (1 Nov 2007 to 26 Nov 2007)
    • CF21 Investment Adviser (5 Aug 2004 to 31 Oct 2007)
    • CF27 Investment Management (5 Aug 2004 to 31 Oct 2007)
  • David John Gerard Fraser

    IRN DJF01088

    • CF21 Investment Adviser (5 May 2004 to 8 Oct 2004)
  • David Joseph Smith

    IRN DJS01208

    • CF27 Investment Management (31 May 2002 to 27 Feb 2003)
    • CF21 Investment Adviser (31 May 2002 to 15 Nov 2002)
  • David Nigel Pritchard

    IRN DNP01017

    • CF11 Money Laundering Reporting (18 Feb 2008 to 30 Jun 2008)
    • CF10 Compliance Oversight (18 Feb 2008 to 30 Jun 2008)
  • Denis Oppong-Gyapong

    IRN DXO01126

    • CF30 Customer (1 Nov 2007 to 26 Nov 2007)
    • CF27 Investment Management (15 Mar 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (18 Jan 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Sep 2004 to 18 Jan 2005)
  • Dennis McGuinness

    IRN DXM01366

    • CF21 Investment Adviser (3 Aug 2004 to 6 Oct 2004)
  • Duncan Andrew Biggart

    IRN DAB01140

    • CF21 Investment Adviser (3 Aug 2004 to 6 Oct 2004)
  • Duncan Muir Stratford

    IRN DMS01135

    • CF26 Customer Trading (16 Jan 2002 to 15 Oct 2004)
    • CF27 Investment Management (16 Jan 2002 to 15 Oct 2004)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.