Tatton Investment Management Limited

• Principal Place of Business

  Tatton Investment Management Ltd

  17 St. Swithin's Lane

  London

  City Of London

  EC4N 8AL

  UNITED KINGDOM

  Phone

  +442038240928

  Web

  http://www.tattoninvestments.com

• Complaints Contact

  Tatton Investment Management Ltd

  17 St. Swithin's Lane

  London

  City Of London

  EC4N 8AL

  UNITED KINGDOM

  Phone

  +442038240928

• 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, 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, 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

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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

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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, 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

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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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, 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, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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.

• Emma Harrison

  IRN EXD01068

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 13 Nov 2020)
  • [FCA CF] Client dealing (since 13 Nov 2020)
• Gillian Elizabeth Aukett

  IRN GEA01026

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 May 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 23 May 2024)
  • CF11 Money Laundering Reporting (19 Jan 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (19 Jan 2017 to 8 Dec 2019)
• Grant Taylor Dempster

  IRN GTD01012

  • Director of firm who is not a certification employee or a SMF manager (since 1 Feb 2020)
• Helen O'Neill

  IRN HXO12599

  • SMF3 Executive Director (9 Dec 2019 to 17 Jan 2024)
  • CF1 Director (13 May 2019 to 8 Dec 2019)
• James Jonathan Saunders

  IRN JJS01165

  • 14. Managing investments
  • [FCA CF] Significant management (since 1 Jul 2024)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF30 Customer (5 Sep 2017 to 8 Dec 2019)
• James Joseph Anthony Kean

  IRN JJK01019

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 12 Feb 2025)
  • [FCA CF] Material risk taker (since 13 Feb 2024)
• Johann Heyns

  IRN JXH02900

  • [FCA CF] Manager of certification employee (since 7 Nov 2024)
  • [FCA CF] Material risk taker (since 7 Nov 2024)
• John William Messer

  IRN JWM01161

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (7 Apr 2019 to 8 Dec 2019)
• Joseph Kane Kennedy

  IRN JXK00731

  • [FCA CF] Client dealing (since 7 Nov 2024)
• Justine Randall

  IRN JXR01650

  • SMF3 Executive Director (since 23 Jun 2020)

No changes recorded yet.