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.

• James Legh Pope

  IRN JLP01041

  • CF2 Non Executive Director (1 Dec 2001 to 22 Apr 2002)
• James Patrick O'Neill

  IRN JPO01015

  • [FCA CF] Material risk taker (1 Mar 2021 to 1 Nov 2021)
• Jane Young

  IRN JXY44624

  • [FCA CF] Material risk taker (1 Mar 2021 to 1 Nov 2021)
• Jennifer Ann Robertson

  IRN JAR01239

  • CF30 Customer (1 Apr 2019 to 29 Jul 2019)
• Jennifer Lynn Grenside

  IRN JXM02161

  • CF30 Customer (1 Nov 2007 to 18 Apr 2008)
  • CF26 Customer Trading (21 Jun 2006 to 31 Oct 2007)
• Jens Albert Linus Vanbrabant

  IRN JAV01029

  • [FCA CF] Material risk taker (since 20 Aug 2020)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (20 Nov 2007 to 8 Dec 2019)
• Jeremy Charles Wrigley

  IRN JCW01088

  • CF28 Systems and controls (1 Nov 2007 to 21 Sep 2010)
  • CF10 Compliance Oversight (1 Dec 2001 to 18 Jun 2002)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 18 Jun 2002)
  • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • CF14 Risk Assessment (1 Dec 2001 to 31 Oct 2007)
  • CF15 Internal Audit (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 31 Jan 2007)
• Jeremy Lee Staudt

  IRN JLS01200

  • CF28 Systems and controls (7 Apr 2016 to 8 Dec 2019)
• Jill Patricia Griffin

  IRN GXJ11820

  • SMF9 Chair of the Governing Body (26 Aug 2021 to 24 Feb 2023)
  • CF2 Non Executive Director (17 Jun 2019 to 8 Dec 2019)
• Joao De Vasconcellos

  IRN JMD01089

  • CF30 Customer (1 Nov 2007 to 11 Jun 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

• Othman Domiati (no longer appointed)

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

No changes recorded yet.