WHITMAN ASSET MANAGEMENT LIMITED

• Principal Place of Business

  1 Manchester Square

  London

  W1U 3AB

  UNITED KINGDOM

  Phone

  +442078467460

  Web

  https://whitman.co.uk

• Complaints Contact

  1 Manchester Square

  London

  W1U 3AB

  UNITED KINGDOM

  Phone

  +442078467460

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), 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, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), 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.

• Allan Rosengren

  IRN AXR00010

  • Director of firm who is not a certification employee or a SMF manager (since 30 Jun 2023)
• Andrew John Hicks

  IRN AJH01628

  • SMF16 Compliance Oversight (since 7 Nov 2022)
• Andrew Stevens

  IRN ABS01031

  • [FCA CF] Client dealing (since 5 Jul 2021)
• Anna Penelope Gaffney

  IRN APG01102

  • SMF17 Money Laundering Reporting Officer (MLRO) (17 May 2021 to 28 Jul 2022)
  • SMF3 Executive Director (17 May 2021 to 28 Jul 2022)
  • SMF16 Compliance Oversight (17 May 2021 to 28 Jul 2022)
• Benjamin Hakham

  IRN BXH01118

  • [FCA CF] Client dealing (21 Jun 2021 to 21 Oct 2021)
• Charles McGillivray

  IRN CXM09831

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Nov 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (13 Aug 2020 to 17 May 2021)
• Christopher Pease

  IRN CBP01009

  • [FCA CF] Client dealing (13 Aug 2020 to 30 Jun 2023)
  • SMF3 Executive Director (13 Aug 2020 to 30 Jun 2023)
• George Henderson

  IRN GXH00090

  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 3 Nov 2023)
  • [FCA CF] Client dealing (since 13 Aug 2020)
• Joshua Northrop

  IRN JXN01492

  • 17. Administrative functions in relation to managing investments
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 7 Nov 2023)
  • [FCA CF] Client dealing (since 13 Aug 2020)
  • SMF3 Executive Director (since 13 Aug 2020)
• Miranda Araminta Le Flufy

  IRN MAL01164

  • SMF1 Chief Executive (since 10 Nov 2020)
  • SMF3 Executive Director (since 10 Nov 2020)

No changes recorded yet.