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.

• Claire Louise Wright

  IRN CLW01098

  • CF30 Customer (28 Nov 2011 to 1 Aug 2016)
• DOUGLAS HENRY ANDREW BARNETT

  IRN DHB01097

  • [FCA CF] Client dealing (9 Dec 2019 to 29 Dec 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Dec 2023)
  • CF30 Customer (28 Jun 2018 to 8 Dec 2019)
• David Alexander Somerset Gibbs

  IRN DAG01080

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (21 Oct 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (21 Oct 2005 to 31 Oct 2007)
  • CF1 Director (21 Oct 2005 to 16 Apr 2010)
• David Frank Chaplin

  IRN DFC01037

  • CF30 Customer (1 Nov 2007 to 20 Sep 2016)
  • CF1 Director (1 Dec 2001 to 15 Apr 2019)
  • CF14 Risk Assessment (1 Dec 2001 to 10 Aug 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 1 Jan 2004)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Jan 2004)
• David John Morgan

  IRN DJM01608

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (23 Aug 2013 to 8 Dec 2019)
• David Sharratt

  IRN DXS02944

  • [FCA CF] Client dealing (9 Dec 2019 to 11 May 2023)
  • CF30 Customer (22 Jan 2018 to 8 Dec 2019)
• David Welch

  IRN DXW01370

  • [FCA CF] Significant management (9 Dec 2019 to 30 Jun 2023)
  • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
  • CF29 Significant management (1 Nov 2007 to 20 Mar 2012)
  • CF13 Finance (21 Jun 2007 to 31 Oct 2007)
  • CF17 Significant Mgt (Other Business Operations) (26 Aug 2004 to 31 Oct 2007)
  • CF15 Internal Audit (1 Dec 2001 to 26 Aug 2004)
• Davina Kate Rich

  IRN DKR01007

  • CF30 Customer (26 Nov 2014 to 31 Oct 2018)
• Dominic Timothy Edward Crabb

  IRN DTC00009

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Dec 2024)
  • SMF16 Compliance Oversight (since 23 Dec 2024)
  • SMF3 Executive Director (since 1 Aug 2024)
• Donald John Dominic Norman

  IRN DJN01048

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 16 Mar 2023)
  • CF30 Customer (30 Jun 2017 to 8 Dec 2019)

• Harrington Cooper LLP (no longer appointed)

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

No changes recorded yet.