Tufton Investment Management Ltd

Date authorised
1 April 2013
Companies House
01835984
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    70 Pall Mall
    London
    SW1Y 5ES
    UNITED KINGDOM
    Phone
    +4402075186700
    Web
    https://www.tufton.com

  • Complaints Contact

    70 Pall Mall
    London
    SW1Y 5ES
    UNITED KINGDOM
    Phone
    +4402075186700

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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, Unit, Warrant

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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, Unit, Warrant

    Show 1 limitation
    • · 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, Unit, Warrant

  • 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, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Private Investment Funds

  • Manages Your Portfolio

    For 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, Unit, Warrant

Approved individuals

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

  • Andreas Rokos Vergottis

    IRN ARV01008

    • CF30 Customer (12 Sep 2013 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (10 Oct 2006 to 29 Dec 2006)
    • CF21 Investment Adviser (18 Mar 2002 to 10 Oct 2006)
  • Andrew Charles Stone

    IRN ACS01084

    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Jan 2007 to 31 Oct 2007)
    • CF23 Corporate Finance Adviser (10 Oct 2006 to 29 Dec 2006)
  • Andrew John Frederick Barker

    IRN AJB01325

    • CF30 Customer (27 Aug 2009 to 21 Jan 2011)
  • Andrew John Hampson

    IRN AJH01250

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (15 Mar 2017 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (4 Apr 2006 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (10 Jul 2002 to 31 Oct 2007)
  • Anna Sipilova

    IRN AXS02569

    • CF30 Customer (22 Oct 2008 to 1 Jun 2011)
  • Anthony David Haynes

    IRN ADH01131

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (25 Jul 2012 to 8 Dec 2019)
    • CF30 Customer (24 Jul 2009 to 8 Dec 2019)
  • Anthony Paul Cunningham

    IRN APC01169

    • CF30 Customer (16 Sep 2008 to 25 Sep 2013)
  • Bjorn Rise

    IRN BXR01275

    • CF30 Customer (23 Dec 2009 to 31 Oct 2017)
  • Dirk Langeveld

    IRN DXL01166

    • CF2 Non Executive Director (1 Dec 2001 to 7 Jun 2002)
  • Erik Andreas Lind

    IRN EAL01018

    • CF11 Money Laundering Reporting (23 Jul 2012 to 22 Feb 2017)
    • CF30 Customer (8 Apr 2009 to 22 Feb 2017)
    • CF8 Apportionment and Oversight (5 Mar 2004 to 31 Oct 2007)
    • CF1 Director (5 Mar 2004 to 22 Feb 2017)
    • CF3 Chief Executive (5 Mar 2004 to 22 Feb 2017)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

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