Allspring Global Investments (UK) Limited

• Principal Place of Business

  30 Cannon Street

  3rd Floor

  London

  EC4M 6XH

  UNITED KINGDOM

  Phone

  +442045517564

  Web

  https://www.allspringglobal.com

• Complaints Contact

  30 Cannon Street

  3rd Floor

  London

  EC4M 6XH

  UNITED KINGDOM

  Phone

  +442045517564

• 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, 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 5 limitations Hide limitations

  • · 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).
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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.

• 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, 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 5 limitations Hide limitations

  • · 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).
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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 sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).

• Arranges Asset Safekeeping

  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, 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

• Stockbroking

  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, 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 6 limitations Hide limitations

  • · Limited to stocklending activities and in carrying on such activities to the securities listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with these specified investments).
  • · Limited to stocklending activities.
  • · Limited to repurchase agreement activities.
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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 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, 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 5 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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).
  • · 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 transaction-only activities.

• Manages Your Portfolio

  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, 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)" 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.

• Sohrab Pairzand Vakil

  IRN SXV01074

  • CF21 Investment Adviser (1 Dec 2001 to 31 May 2002)
  • CF26 Customer Trading (1 Dec 2001 to 31 May 2002)
  • CF27 Investment Management (1 Dec 2001 to 31 May 2002)
• Sophie Claire Guillum Scott

  IRN SCG01096

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (26 Jun 2019 to 8 Dec 2019)
• Stephane Renevier

  IRN SXR02661

  • CF30 Customer (1 Apr 2019 to 8 Dec 2019)
• Stephane Xavier Fievee

  IRN SXF01351

  • [FCA CF] Material risk taker (since 25 Jun 2024)
  • [FCA CF] Manager of certification employee (since 25 Jun 2024)
  • [FCA CF] Client dealing (since 4 Apr 2023)
  • CF30 Customer (28 Mar 2017 to 8 Dec 2019)
• Stephen Albert Crane

  IRN SAC01098

  • CF30 Customer (12 Mar 2015 to 6 Jan 2016)
• Stephen John Raymond Rumsey

  IRN SJR01128

  • CF1 Director (1 Dec 2001 to 18 Nov 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 5 Oct 2005)
  • CF26 Customer Trading (1 Dec 2001 to 5 Oct 2005)
  • CF27 Investment Management (1 Dec 2001 to 5 Oct 2005)
  • CF3 Chief Executive (1 Dec 2001 to 5 Oct 2005)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 5 Oct 2005)
• Stephen Martin Zinser

  IRN SMZ01002

  • CF30 Customer (1 Nov 2007 to 31 Dec 2014)
  • CF1 Director (1 Dec 2001 to 31 Dec 2014)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 31 Dec 2014)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
• Steven Andrew Blakey

  IRN SAB01119

  • CF30 Customer (1 Nov 2007 to 11 Jul 2012)
  • CF1 Director (1 Dec 2001 to 11 Jul 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF26 Customer Trading (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 Sep 2010)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
• Stuart Russell Fuller

  IRN SRF01053

  • CF30 Customer (28 Jan 2010 to 26 Oct 2016)
• Susan Margaret McCoubrie-Ameri

  IRN SMM01061

  • CF30 Customer (1 Nov 2007 to 1 Feb 2012)
  • CF21 Investment Adviser (29 Oct 2007 to 31 Oct 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 5 Jan 2007)
  • CF26 Customer Trading (1 Dec 2001 to 5 Jan 2007)
  • CF27 Investment Management (1 Dec 2001 to 5 Jan 2007)
  • CF1 Director (1 Dec 2001 to 5 Jan 2007)

• Othman Domiati (no longer appointed)

  FRN 213730 · Appointed 23 Jul 2002 · Until 29 Jan 2009

No changes recorded yet.