Unicorn Asset Management Limited

Date authorised
1 April 2013
Companies House
03919499
Last scraped
3 weeks ago
Watch for changes

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.

  • Peter John Walls

    IRN PJW01177

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 1 Apr 2008)
    • CF1 Director (1 Dec 2001 to 1 Apr 2008)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Peter Webb

    IRN PXW01216

    • CF30 Customer (1 Nov 2007 to 17 Jul 2008)
    • CF3 Chief Executive (1 Dec 2001 to 17 Jul 2008)
    • CF10 Compliance Oversight (1 Dec 2001 to 29 May 2003)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 17 Jul 2008)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Philip David John

    IRN PDJ01028

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 30 Mar 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 16 Jun 2025)
    • CF10a CASS Oversight function (20 Jul 2016 to 8 Dec 2019)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Mar 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 Mar 2007 to 8 Dec 2019)
    • CF1 Director (14 Jan 2003 to 8 Dec 2019)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • Robert Holt

    IRN RXH01611

    • CF2 Non Executive Director (21 Feb 2006 to 27 Apr 2010)
  • Sean James Alexis Perry

    IRN SJP01133

    • CF27 Investment Management (1 Dec 2001 to 15 Oct 2002)
  • Sean Martin O'Flanagan

    IRN SMO01021

    • CF27 Investment Management (18 Feb 2002 to 16 Feb 2006)
  • Simon Edward Moon

    IRN SEM01116

    • SMF3 Executive Director (since 14 Apr 2026)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (21 Jul 2009 to 8 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.