Thesis Asset Management Limited

• Principal Place of Business

  Exchange Building

  St John's Street

  Chichester

  West Sussex

  PO19 1UP

  UNITED KINGDOM

  Phone

  +441243753415

  Web

  https://www.thesisam.com

• Complaints Contact

  Exchange Building

  St John's Street

  Chichester

  West Sussex

  PO19 1UP

  UNITED KINGDOM

  Phone

  +441243753415

• P2P Lending Advice

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Non-investment insurance contracts, 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.

• 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Non-investment insurance contracts, 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.

• 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, 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Non-investment insurance contracts, 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.

• 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, 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.

• Holds Your Assets

  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

  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.

• Nicola Claire Palios

  IRN NCD01007

  • SMF9 Chair of the Governing Body (since 9 Dec 2019)
  • CF2 Non Executive Director (1 Oct 2018 to 8 Dec 2019)
• Nigel Paul Daisy

  IRN NPD01042

  • SMF17 Money Laundering Reporting Officer (MLRO) (17 Dec 2019 to 28 Nov 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 16 Dec 2024)
  • CF10 Compliance Oversight (27 Jul 2015 to 8 Dec 2019)
• Orinn Frederick Checkley

  IRN OFC01002

  • CF22 Investment Adviser (Trainee) (1 Aug 2002 to 20 Jun 2003)
• Patricia Lesley Woolgar

  IRN PLW01039

  • CF2 Non Executive Director (1 Dec 2001 to 27 Nov 2007)
• Paul Bryan David Nash

  IRN PBN01006

  • CF21 Investment Adviser (1 Dec 2001 to 23 Aug 2006)
• Paul Higginbotham

  IRN PXH01237

  • CF27 Investment Management (1 Dec 2001 to 9 Aug 2002)
• Paul John Field

  IRN PJF01098

  • CF21 Investment Adviser (22 May 2003 to 1 Mar 2004)
• Paul Morley

  IRN PAM01227

  • CF30 Customer (1 Nov 2007 to 16 Sep 2019)
  • CF22 Investment Adviser (Trainee) (4 Oct 2007 to 31 Oct 2007)
• Peter Charles Edward Fairweather

  IRN PCF00001

  • CF21 Investment Adviser (20 Sep 2002 to 3 Sep 2003)
• Peter John Davey

  IRN PJD01090

  • CF30 Customer (1 Nov 2007 to 31 Aug 2012)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

• Lawinvest Limited (no longer appointed)

  FRN 581195 · Appointed 14 May 2012 · Until 30 Jan 2014

• Hearthstone Asset Management Limited (no longer appointed)

  FRN 538251 · Appointed 1 Jul 2011 · Until 7 Nov 2025

• Pallant Independent Limited (no longer appointed)

  FRN 542843 · Appointed 9 Mar 2011 · Until 30 Apr 2013

• Anderida Investment Management Services LLP (no longer appointed)

  FRN 540923 · Appointed 4 Feb 2011 · Until 6 Feb 2015

No changes recorded yet.