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.

• Joseph Boxall

  IRN JJB01235

  • CF30 Customer (31 May 2017 to 16 Sep 2019)
• Julie Rose Kelway

  IRN JRK00006

  • CF21 Investment Adviser (30 Sep 2002 to 12 Jun 2003)
• Katharine Felicity Emma Nathoo

  IRN KFN01002

  • CF30 Customer (1 Nov 2007 to 15 Dec 2017)
  • CF27 Investment Management (1 May 2002 to 31 Oct 2007)
• Keith Andrew Maner

  IRN KAM01071

  • CF28 Systems and controls (1 Nov 2007 to 1 Nov 2007)
  • CF14 Risk Assessment (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 19 Jul 2012)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Nov 2007)
• Kelly-Ann Fox

  IRN KXF00038

  • [FCA CF] Client dealing (since 9 Dec 2020)
• Kieran John Paul Kelly

  IRN KJK01039

  • CF22 Investment Adviser (Trainee) (11 May 2005 to 8 Dec 2006)
• Krisztina Clarke

  IRN KXC01369

  • [FCA CF] Material risk taker (since 31 Mar 2021)
  • [FCA CF] Significant management (since 9 Dec 2020)
• Kumar Gaurav Gupta

  IRN KGG01023

  • CF30 Customer (18 Feb 2016 to 14 Jul 2017)
• Kumbirai Kephas Chilongo

  IRN KKC01011

  • [FCA CF] Material risk taker (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • CF30 Customer (7 Oct 2010 to 8 Dec 2019)
• Lawrence John Cook

  IRN LJC01162

  • CF1 Director (8 Aug 2018 to 16 Sep 2019)
  • CF29 Significant management (2 May 2017 to 16 Sep 2019)

• 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.