W1M Asset Management Limited

• Principal Place of Business

  16 Babmaes Street

  London

  Westminster

  SW1Y 6AH

  UNITED KINGDOM

  Phone

  +4402046172000

  Web

  https://www.w1m.com

• Complaints Contact

  16 Babmaes Street

  London

  Westminster

  SW1Y 6AH

  UNITED KINGDOM

  Phone

  +4402046172000

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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 Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, 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, 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, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, 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, 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 Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, 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, 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, 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, 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.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, 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, 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 Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, 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, 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.

• Christopher David Dalziel

  IRN CXD00152

  • [FCA CF] Manager of certification employee (since 16 Mar 2026)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
• Christopher Malcolm McGuinness

  IRN CMM01107

  • CF30 Customer (15 Dec 2016 to 13 Jul 2018)
• Christopher Michael Pan

  IRN CMP01064

  • CF22 Investment Adviser (Trainee) (28 Apr 2003 to 23 Apr 2004)
• Clifford Reginald Ongley

  IRN CRO00002

  • CF11 Money Laundering Reporting (1 Dec 2001 to 14 Sep 2018)
  • CF10 Compliance Oversight (1 Dec 2001 to 14 Sep 2018)
• Craig Anthony Shute

  IRN CAS01178

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (23 Apr 2007 to 31 Oct 2007)
• Daniel Afolabi Sawyerr

  IRN DAS01291

  • [FCA CF] Functions requiring qualifications (24 Jan 2020 to 31 Oct 2023)
  • [FCA CF] Client dealing (24 Jan 2020 to 31 Oct 2023)
• Daniel Keith Freedman

  IRN DKF00002

  • Responsible for Insurance Distribution (1 Oct 2018 to 22 Oct 2019)
  • Responsible for Insurance Mediation (31 Oct 2016 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 1 Jan 2013)
  • CF1 Director (1 Dec 2001 to 22 Oct 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
• David John Hince

  IRN DJH00175

  • CF27 Investment Management (1 Dec 2001 to 8 Nov 2002)
• David Robert Craig Stanford

  IRN DRS01103

  • CF27 Investment Management (11 Nov 2003 to 6 May 2005)
• Dipanjan Roy

  IRN DXR77039

  • [FCA CF] Manager of certification employee (20 Jul 2021 to 29 Sep 2023)
  • [FCA CF] Client dealing (20 Jul 2021 to 29 Sep 2023)

• SPA ETF Europe Ltd (no longer appointed)

  FRN 469855 · Appointed 4 Jul 2007 · Until 6 Dec 2010

No changes recorded yet.