Thesis Asset Management Limited

Watch for changes

FRN: 114354
Date authorised: 1 April 2013
Companies House: 01802101
Last scraped: 3 weeks ago

Watch for changes

Addresses

The contact details this firm has registered with the FCA.

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

What this firm is allowed to do

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

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
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.
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 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
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.
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
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, 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.
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
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.
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.

Approved individuals

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

Simon Elliott Mudd
IRN SEM01132
- CF30 Customer (26 Oct 2011 to 26 Sep 2012)
Stephen Anthony Daniels
IRN SAD01053
- CF27 Investment Management (1 May 2002 to 4 Apr 2003)
Stephen Lee Wise
IRN SLW01040
- CF21 Investment Adviser (1 Dec 2001 to 6 Apr 2004)
Stephen Paul Richards
IRN SPR01091
- CF2 Non Executive Director (20 Nov 2007 to 21 Jul 2017)
Stephen Robert Ratliffe
IRN SRR01046
- [FCA CF] Material risk taker (since 30 Mar 2021)
- [FCA CF] Significant management (since 9 Dec 2020)
- CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
- CF19 Significant Mgt (Financial Resources) (29 Sep 2004 to 31 Oct 2007)
Stephen Ronald Mugford
IRN SRM01100
- SMF3 Executive Director (since 9 Dec 2019)
- CF10a CASS Oversight function (19 Sep 2012 to 8 Dec 2019)
- CF1 Director (AR) (12 Sep 2011 to 30 Apr 2013)
- CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
- CF13 Finance (12 Jan 2002 to 31 Oct 2007)
- CF1 Director (12 Jan 2002 to 8 Dec 2019)
Steven Richards
IRN SAR01058
- CF30 Customer (1 Nov 2007 to 16 Sep 2019)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
Stuart Roderick Prior
IRN SRP01109
- CF30 Customer (20 Nov 2009 to 8 Mar 2013)
Sukhraj Singh Sangha
IRN SSS01075
- CF30 Customer (29 Apr 2008 to 3 Mar 2010)
Susan Cheryl Cole
IRN SCC01105
- CF22 Investment Adviser (Trainee) (16 Mar 2005 to 18 May 2005)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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

Recent activity

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

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.