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.

• Guy Andrew McGlashan

  IRN GAM01080

  • SMF1 Chief Executive (since 24 Jul 2024)
• Hannah Elizabeth Marshall

  IRN HXM01125

  • CF28 Systems and controls (1 Nov 2007 to 5 Feb 2010)
  • CF15 Internal Audit (21 Jun 2007 to 31 Oct 2007)
  • CF14 Risk Assessment (1 Mar 2007 to 31 Oct 2007)
  • CF1 Director (3 Feb 2004 to 5 Feb 2010)
  • CF10 Compliance Oversight (1 Dec 2001 to 17 Apr 2009)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 17 Apr 2009)
• Harish Shah

  IRN HXS01340

  • SMF16 Compliance Oversight (9 Dec 2019 to 22 Nov 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Nov 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 22 Nov 2024)
  • CF29 Significant management (3 Jan 2013 to 8 Dec 2019)
  • CF28 Systems and controls (30 Jul 2012 to 19 Dec 2012)
  • CF10 Compliance Oversight (1 Sep 2010 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Sep 2010 to 8 Dec 2019)
• Henry Glazebrook Tellwright

  IRN HXT00065

  • [FCA CF] Client dealing (9 Dec 2019 to 6 Aug 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 Aug 2024)
• Hugh John Grootenhuis

  IRN HJG01017

  • CF3 Chief Executive (15 Jul 2009 to 13 Jul 2015)
  • CF1 Director (1 Dec 2001 to 13 Jul 2015)
  • CF14 Risk Assessment (1 Dec 2001 to 10 Aug 2004)
• Ian Boyd Enslin

  IRN IBE01002

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (22 Apr 2014 to 8 Dec 2019)
• Ian Colquhoun Marris

  IRN ICM01018

  • CF27 Investment Management (1 Dec 2001 to 23 Mar 2007)
  • CF1 Director (1 Dec 2001 to 23 Mar 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 23 Mar 2007)
• Ian De Burgh Marsh

  IRN IAD01013

  • CF1 Director (16 Jul 2010 to 29 Nov 2010)
• James Alexander Frederick Mee

  IRN JAM01435

  • [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 (24 Mar 2014 to 8 Dec 2019)
• James Daniel Pike

  IRN JDP01070

  • [FCA CF] Significant management (9 Dec 2019 to 8 Apr 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Apr 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Apr 2026)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 8 Apr 2026)
  • CF30 Customer (27 Feb 2008 to 8 Dec 2019)

• Harrington Cooper LLP (no longer appointed)

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

No changes recorded yet.