Wharton Asset Management UK LLP

Date authorised
1 April 2013
Companies House
OC326990
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    5 Merchant Square
    London
    W2 1AS
    UNITED KINGDOM
    Phone
    +442045681555

  • Complaints Contact

    5 Merchant Square
    London
    W2 1AS
    UNITED KINGDOM
    Phone
    +442045681555

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share

    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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share

    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.

  • Stockbroking

    For Eligible Counterparty, Professional, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share

    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.

  • Investment Setup

    For Eligible Counterparty, Professional, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share

    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.

  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share

    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.

  • Maurice Salem

    IRN MXS01386

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF21 Investment Adviser
    • CF27 Investment Management
    • CF10 Compliance Oversight (16 Feb 2010 to 8 Dec 2019)
    • CF4 Partner (28 Feb 2008 to 8 Dec 2019)
    • CF30 Customer (28 Feb 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (28 Feb 2008 to 8 Dec 2019)
  • Paul Cook

    IRN PXC01280

    • CF21 Investment Adviser
    • CF27 Investment Management
    • CF30 Customer (28 Feb 2008 to 12 Feb 2014)
  • Robert Clayton Heathcote

    IRN RCH01065

    • CF21 Investment Adviser
    • CF27 Investment Management
    • CF30 Customer (28 Feb 2008 to 15 May 2008)

Recent activity

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

No changes recorded yet.