W1M Investment Management Limited

• Principal Place of Business

  16 Babmaes Street

  London

  SW1Y 6AH

  UNITED KINGDOM

  Phone

  +442074847496

  Web

  https://www.w1m.com

• Complaints Contact

  16 Babmaes Street

  London

  SW1Y 6AH

  UNITED KINGDOM

  Phone

  +4402046172000

• P2P Lending Advice

  For Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Professional, Retail (Investment), 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, 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 4 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to regulated and unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Professional, Retail (Investment), 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, 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 4 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to regulated and unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), 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, 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.

• Stockbroking

  For Professional, Retail (Investment), 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, 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 3 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  For Professional, Retail (Investment), 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, 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 4 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to regulated and unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Manages Your Portfolio

  For Professional, Retail (Investment), 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, 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 2 limitations Hide limitations

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

• Holds Your Assets

  For Professional, Retail (Investment), 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, 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.

• Charles Colin Addington Bathurst

  IRN CCB01025

  • CF30 Customer (5 Nov 2008 to 30 Apr 2010)
• Charles David Owen Jillings

  IRN CDJ01043

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 28 Jun 2024)
  • CF2 Non Executive Director (24 Sep 2013 to 8 Dec 2019)
• Charles Humphrey Scott-Plummer

  IRN CHS01048

  • [FCA CF] Significant management (9 Dec 2019 to 6 Aug 2024)
• Charles Jones

  IRN CXJ12788

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 May 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 26 May 2023)
  • CF30 Customer (22 Mar 2019 to 8 Dec 2019)
• Charles Robert MacFadyen

  IRN CRM01058

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Apr 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Apr 2026)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (23 Jun 2006 to 16 Apr 2010)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Christina Frikkee

  IRN CXF01066

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Apr 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Apr 2026)
  • CF30 Customer (2 Aug 2018 to 8 Dec 2019)
• Christopher Avedis Keljik

  IRN CAK01013

  • CF2 Non Executive Director (31 Jul 2014 to 31 Aug 2017)
• Christopher Mark Rose

  IRN CMR01067

  • [FCA CF] Client dealing (9 Dec 2019 to 8 Apr 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Apr 2026)
  • CF29 Significant management (4 Jan 2013 to 9 Sep 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF14 Risk Assessment (1 Dec 2001 to 15 May 2007)
  • CF1 Director (1 Dec 2001 to 18 Apr 2011)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Christopher Marryat Garsten

  IRN CMG01041

  • [FCA CF] Client dealing (9 Dec 2019 to 8 Apr 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Apr 2026)
  • CF30 Customer (1 Aug 2016 to 8 Dec 2019)
• Chun Yue Lee

  IRN CYL01008

  • CF30 Customer (15 Feb 2010 to 7 Oct 2016)

• Harrington Cooper LLP (no longer appointed)

  FRN 457137 · Appointed 13 Sep 2006 · Until 31 Mar 2010

No changes recorded yet.