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.

• David Garland Bullock

  IRN DGB01159

  • CF2 Non Executive Director (30 May 2017 to 31 May 2018)
• David Milton Carroll

  IRN DMC01180

  • CF2 Non Executive Director (11 May 2007 to 9 Oct 2008)
  • CF1 Director (27 Apr 2007 to 11 May 2007)
• David Nicholas John Carr

  IRN DNC01030

  • CF30 Customer (7 Sep 2012 to 20 Feb 2015)
• David William Thompson

  IRN DWT01033

  • CF30 Customer (3 Sep 2012 to 7 Jun 2013)
• Declan Thomas Fitzmaurice

  IRN DTF01014

  • CF30 Customer (14 Aug 2009 to 28 Oct 2014)
• Deirdre Elizabeth Flood

  IRN DEF01037

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2022)
  • SMF1 Chief Executive (9 Dec 2019 to 5 Apr 2022)
  • SMF3 Executive Director (9 Dec 2019 to 5 Apr 2022)
  • CF3 Chief Executive (30 Jul 2019 to 8 Dec 2019)
  • CF30 Customer (1 Apr 2019 to 8 Dec 2019)
  • CF1 Director (8 Jan 2018 to 8 Dec 2019)
  • CF2 Non Executive Director (16 Sep 2015 to 8 Jan 2018)
• Dennis Henry Ferro

  IRN DHF01022

  • CF2 Non Executive Director (11 May 2007 to 1 Oct 2008)
  • CF1 Director (27 Apr 2007 to 11 May 2007)
• Derek Hynes

  IRN DJH01269

  • CF30 Customer (1 Nov 2007 to 17 Jul 2013)
  • CF27 Investment Management (10 Aug 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (27 Jun 2005 to 31 Oct 2007)
• Duncan Keith Warwick-Champion

  IRN DKW01024

  • [FCA CF] Material risk taker (1 Mar 2023 to 31 May 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 May 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2024)
  • CF30 Customer (16 Jan 2012 to 8 Dec 2019)
• Eddie Cho Chun Cheng

  IRN ECC01025

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 10 Dec 2024)
  • CF30 Customer (1 Apr 2019 to 8 Dec 2019)

• Othman Domiati (no longer appointed)

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

No changes recorded yet.