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.

• Martin Robert Brown

  IRN MRB00028

  • CF21 Investment Adviser (1 Dec 2001 to 3 Sep 2002)
• Matthew John Talbot Hoggarth

  IRN MXH17210

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 12. Giving personal recommendations on and dealing in 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 6 Feb 2020)
  • CF30 Customer (17 Jul 2019 to 8 Dec 2019)
• Matthew Thomas Webber

  IRN MTW01027

  • CF22 Investment Adviser (Trainee) (1 May 2002 to 9 Jul 2002)
• Michael Hughes

  IRN MXH01429

  • CF2 Non Executive Director (9 Mar 2016 to 21 Jul 2017)
• Michael Joseph Lally

  IRN MJL01107

  • CF30 Customer (1 Nov 2007 to 1 Aug 2017)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 15 Aug 2016)
• Michael Roger Neve

  IRN MRN00006

  • CF21 Investment Adviser (30 Sep 2002 to 3 Sep 2003)
• Miranda Chapple

  IRN MXC00261

  • [FCA CF] Material risk taker (since 30 Mar 2021)
  • [FCA CF] Significant management (since 9 Dec 2020)
• Natasa Milinkovic

  IRN NXM01557

  • CF30 Customer (1 Feb 2011 to 11 Nov 2011)
• Nathan Peter Hazledene

  IRN NPH01055

  • CF22 Investment Adviser (Trainee) (11 Aug 2004 to 29 Nov 2004)
• Neil Leslie Lloyd

  IRN NLL01017

  • CF28 Systems and controls (26 Jul 2013 to 17 May 2016)
  • CF11 Money Laundering Reporting (6 Aug 2012 to 25 Nov 2015)
  • CF10 Compliance Oversight (13 Jun 2012 to 15 Sep 2015)

• 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.