Aegon Asset Management UK plc

• Principal Place of Business

  Aegon Asset Management

  1-3

  Lochside Crescent

  Edinburgh

  Edinburgh, City Of

  EH12 9SA

  UNITED KINGDOM

  Phone

  +4408005289989

  Web

  https://www.aegonam.com

• Complaints Contact

  3 Lochside Crescent

  -

  Edinburgh

  EH12 9SA

  UNITED KINGDOM

  Phone

  +4408005289989

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, 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, 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, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, 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.
  • · Limited to dealing-only activities.
  • · Limited to collective investment scheme administration activities and in carrying on such activities to the specified investment type "unit" and "rights to or interests in investment - security", when the latter is associated with this specified investment).
  • · Limited to recognised 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).
  • · Limited to investment management activities and in carrying on these activities to the customer types "Professional Client" and "Eligible Counterparty".

• Arranges Asset Safekeeping

  For Eligible Counterparty, 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, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Insurance Admin

  For Commercial, Non-investment insurance contracts

• Stockbroking

  For Eligible Counterparty, 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, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations 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.
  • · Limited to investment management activities and in carrying on these activities to the customer types "Professional Client" and "Eligible Counterparty".

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Future (excluding a commodity future and a rolling spot forex contract), 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), Unit

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to authorised unit trust scheme box management operations and in carrying on these operations to the specified investment "unit", "option"(excluding a commodity option and an option on commodity futures), "future" (excluding a commodity future and a rolling spot forex contract) and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments).
  • · Limited to ICVC box management activities and in carrying on such activities to the specified investments, "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot f orex contract) and rights to or interests in investments - contractually based investments", (when the later is associated with these specified investments).

• Investment Setup

  For Eligible Counterparty, 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, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 4 limitations 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.
  • · Limited to transaction-only activities.
  • · Limited to recognised 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).
  • · Limited to investment management activities and in carrying on these activities to the customer types "Professional Client" and "Eligible Counterparty".

• Retail Investment Funds

• Specialist Investment Funds

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, 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, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Holds Your Assets

  For Eligible Counterparty, 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, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Peter Robert Shaw

  IRN PRS01095

  • CF30 Customer (1 Nov 2007 to 17 Nov 2015)
  • CF27 Investment Management (12 Sep 2002 to 31 Oct 2007)
• Philip Anthony Bach

  IRN PAB01371

  • CF30 Customer (26 Sep 2012 to 21 Dec 2018)
• Philip Clark

  IRN PJC01147

  • [FCA CF] Client dealing (9 Dec 2019 to 12 Jul 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 12 Jul 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 12 Jul 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 12 Jul 2021)
  • CF30 Customer (31 Jan 2008 to 8 Dec 2019)
• Philip John George Smith

  IRN PJS01195

  • CF29 Significant management (27 Jun 2011 to 23 Aug 2019)
  • CF28 Systems and controls (1 Nov 2007 to 24 Apr 2008)
  • CF10 Compliance Oversight (5 Apr 2002 to 1 Jan 2010)
  • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Jan 2010)
  • CF1 Director (1 Dec 2001 to 17 May 2012)
• Philip Neil Milburn

  IRN PNM01019

  • CF30 Customer (15 Aug 2016 to 15 Aug 2017)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Philip Richard Haworth

  IRN PRH01064

  • [FCA CF] Significant management (31 Jan 2023 to 2 Oct 2024)
  • [FCA CF] Material risk taker (3 Jan 2023 to 2 Oct 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 2 Oct 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 2 Oct 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Philip Robert Small

  IRN PRS01088

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Jul 2023)
  • CF30 Customer (28 Mar 2013 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 6 May 2004)
• Pierre-Olivier Reymond Damien Caumont

  IRN PXC00275

  • [FCA CF] Client dealing (since 21 Jun 2023)
• Piers Adrian Carlyle Hillier

  IRN PAH01121

  • CF30 Customer (5 Apr 2012 to 17 Sep 2014)
• RICHARD JAMES PEACOCK

  IRN RXJ01363

  • [FCA CF] Material risk taker (6 Sep 2021 to 21 Jun 2024)
  • [FCA CF] Significant management (6 Sep 2021 to 21 Jun 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 21 Jun 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 21 Jun 2024)
  • CF30 Customer (21 Dec 2016 to 8 Dec 2019)

No changes recorded yet.