Unicorn Asset Management Limited

Date authorised
1 April 2013
Companies House
03919499
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Preachers Court
    15 The Charterhouse
    Charterhouse Square
    London
    EC1M 6AU
    UNITED KINGDOM
    Phone
    +4402072530889
    Web
    https://www.unicornam.com

  • Complaints Contact

    Preachers Court
    15 The Charterhouse
    Charterhouse Square
    London
    EC1M 6AU
    UNITED KINGDOM
    Phone
    +4402072530889

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, 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), Share, Spread Bet, 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, 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), Share, Spread Bet, 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.

  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Rights to or interests in investments (Security), Share, Unit

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Stockbroking

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, Spread Bet, 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.

  • Trades With You Directly

    For Eligible Counterparty, Professional, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Unit

    Show 2 limitations
    • · Limited to ICVC box management activities and in carrying on such activities to the specified investments, "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot f orex contract) and rights to or interests in investments - contractually based investments", (when the later is associated with these specified investments).
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, Spread Bet, 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.

  • Retail Investment Funds

  • Private Investment Funds

  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, Spread Bet, 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.

Approved individuals

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

  • Jeremy Charles Utton

    IRN JCU00005

    • CF30 Customer (1 Nov 2007 to 16 Jul 2009)
    • CF1 Director (AR) (10 Nov 2006 to 16 Jul 2009)
    • CF1 Director (10 Feb 2005 to 13 Jul 2005)
    • CF21 Investment Adviser (16 Jun 2004 to 27 Apr 2006)
  • John Columbus McCready

    IRN JCM01097

    • CF30 Customer (1 Nov 2007 to 1 Apr 2008)
    • CF1 Director (8 Jul 2003 to 20 Feb 2006)
    • CF27 Investment Management (10 Apr 2002 to 31 Oct 2007)
  • John Douglas McClure

    IRN JDM01070

    • CF1 Director (22 Jun 2010 to 7 Jun 2014)
    • CF30 Customer (1 Nov 2007 to 29 May 2015)
    • CF10 Compliance Oversight (3 Jun 2003 to 11 Feb 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 11 Feb 2007)
  • Mark Christopher Allen

    IRN MCA01054

    • CF1 Director (AR) (3 Oct 2006 to 5 May 2010)
  • Max Thomas William Ormiston

    IRN MTO01012

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (18 Jul 2014 to 8 Dec 2019)
  • Miles Gregory Nolan

    IRN MGN01018

    • CF30 Customer (1 Nov 2007 to 15 Apr 2008)
    • CF27 Investment Management (16 Oct 2007 to 31 Oct 2007)
  • Myrianthi Mylonas-Prior

    IRN MXM01896

    • CF30 Customer (22 Mar 2010 to 28 Feb 2013)
  • Paul Harwood

    IRN PXH01233

    • CF2 Non Executive Director (7 Nov 2008 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 31 Oct 2002)
    • CF27 Investment Management (1 Dec 2001 to 29 May 2003)
  • Peter Frederick Dicks

    IRN PFD01010

    • SMF9 Chair of the Governing Body (since 1 Dec 2023)
  • Peter George Patrick Dew

    IRN PGD01026

    • CF2 Non Executive Director (1 Dec 2001 to 28 Feb 2006)
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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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