Thesis Asset Management Limited

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

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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
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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
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
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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.

Approved individuals

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

Daniel Jordan
IRN DXJ01131
- CF22 Investment Adviser (Trainee) (21 Dec 2001 to 5 Nov 2004)
Daniel Konrad Mytnik
IRN DKM01031
- Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2020)
- CF2 Non Executive Director (12 Apr 2018 to 8 Dec 2019)
Daniel Michael Gerald Moylan
IRN DMM01143
- CF22 Investment Adviser (Trainee) (21 Mar 2003 to 30 Jun 2004)
Daniel Thomas Weale
IRN DTW01017
- CF26 Customer Trading (9 Sep 2005 to 25 Apr 2007)
- CF22 Investment Adviser (Trainee) (14 Oct 2004 to 25 Apr 2007)
David Edward Wilson
IRN DEW00009
- CF21 Investment Adviser (1 Dec 2001 to 20 Sep 2002)
David Lloyd Dudley
IRN DLD01015
- CF29 Significant management (1 Nov 2007 to 18 May 2018)
- CF20 Significant Mgt (Settlements) (28 Sep 2004 to 31 Oct 2007)
- CF19 Significant Mgt (Financial Resources) (1 Dec 2001 to 28 Sep 2004)
David Reginald Jim Gibbins
IRN DRG01116
- CF30 Customer (9 Aug 2011 to 3 Mar 2017)
David William Tyerman
IRN DWT01030
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
- [FCA CF] Client dealing (since 9 Dec 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- CF3 Chief Executive (AR) (14 Sep 2011 to 30 Apr 2013)
- CF1 Director (AR) (14 Sep 2011 to 30 Apr 2013)
- CF3 Chief Executive (8 Nov 2007 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF26 Customer Trading (9 Mar 2006 to 31 Oct 2007)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
- CF1 Director (1 Dec 2001 to 8 Dec 2019)
Dean Alexander Bowden
IRN DAB01125
- CF27 Investment Management (4 Apr 2002 to 2 Jan 2007)
- CF26 Customer Trading (1 Dec 2001 to 2 Jan 2007)
Desmond John Pike
IRN DJP00020
- CF21 Investment Adviser (24 Jun 2002 to 12 Dec 2003)

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.