Troy Asset Management Limited

• Principal Place of Business

  33 Davies Street

  London

  W1K 4BP

  UNITED KINGDOM

  Phone

  +4402074994030

  Web

  https://www.taml.co.uk

• Complaints Contact

  33 Davies Street

  London

  W1K 4BP

  UNITED KINGDOM

  Phone

  +4402074994030

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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 Eligible Counterparty, Professional, 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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, 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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, 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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 Eligible Counterparty, Professional, 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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, 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Mohammed Mulla

  IRN MXM03239

  • CF30 Customer (22 Mar 2017 to 18 Apr 2019)
• Nicholas Charles Hughes

  IRN NCH01070

  • SMF1 Chief Executive (since 1 Jun 2024)
  • SMF3 Executive Director (since 5 Oct 2022)
  • [FCA CF] Manager of certification employee (11 May 2021 to 5 Oct 2022)
  • [FCA CF] Material risk taker (11 May 2021 to 5 Oct 2022)
• Nicholas Clary

  IRN NXC01541

  • [FCA CF] Client dealing (since 1 May 2023)
  • [FCA CF] Manager of certification employee (since 1 May 2023)
  • CF30 Customer (22 Mar 2017 to 11 Nov 2019)
• Nicholas Lloyd Roberts

  IRN NLR01004

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (10 Sep 2018 to 8 Dec 2019)
• Nicholas Michael Bundy

  IRN NMB01023

  • CF30 Customer (22 Mar 2017 to 20 Jul 2017)
• Rajesh Soni

  IRN RXS00840

  • SMF16 Compliance Oversight (since 1 May 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 May 2023)
• Ruth Louise Keattch

  IRN RXK01165

  • CF30 Customer (1 Nov 2007 to 22 May 2008)
  • CF1 Director (24 Jul 2006 to 22 May 2008)
  • CF27 Investment Management (28 Nov 2005 to 31 Oct 2007)
• Sean Beck

  IRN SXB01957

  • CF30 Customer (28 Sep 2009 to 28 Jun 2018)
• Sebastian Jeremy Michael Lyon

  IRN SJL01150

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (16 Jul 2003 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF13 Finance (1 Dec 2001 to 10 Feb 2006)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 20 Sep 2004)
• Seth Brennan

  IRN SXB00577

  • Director of firm who is not a certification employee or a SMF manager (since 1 Mar 2024)

No changes recorded yet.