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

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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.

• 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.

• Lynette Scott

  IRN LXS01097

  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 15 Sep 2004)
• Manish Shah

  IRN MXS03085

  • CF30 Customer (31 Jan 2012 to 8 May 2012)
• Mark Armand Forman

  IRN MAF01179

  • CF30 Customer (23 Aug 2011 to 16 Jan 2014)
• Mark Edward John Glen

  IRN MXG01390

  • CF22 Investment Adviser (Trainee) (18 Sep 2002 to 17 Sep 2004)
• Mark John Taylor

  IRN MJT01080

  • CF21 Investment Adviser (1 Dec 2001 to 24 May 2002)
• Mark Lloyd Godwin

  IRN MLG01030

  • CF26 Customer Trading (1 Dec 2001 to 1 Oct 2004)
• Mark Roger Wheeler

  IRN MRW01154

  • CF30 Customer (1 Nov 2007 to 10 Oct 2008)
  • CF22 Investment Adviser (Trainee) (3 Apr 2006 to 31 Oct 2007)
• Mark Sullivan

  IRN MXS00299

  • [FCA CF] Material risk taker (since 31 Mar 2021)
  • [FCA CF] Significant management (since 9 Dec 2020)
• Mark Woodroffe

  IRN MXW01635

  • CF22 Investment Adviser (Trainee) (12 Oct 2004 to 7 Oct 2005)
• Martin Bailey

  IRN MXB00266

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

• 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.