Ashmore Investment Management Limited

• Principal Place of Business

  Ashmore Group

  16 Palace Street

  London

  SW1E 5JD

  UNITED KINGDOM

  Phone

  +4402030776000

  Web

  https://www.ashmoregroup.com

• Complaints Contact

  Ashmore Group

  16 Palace Street

  London

  SW1E 5JD

  UNITED KINGDOM

  Phone

  +4402030776000

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Unit, Warrant

  Show 5 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.
  • · Limited to 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".

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Alternative Debenture, 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, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Alternative Debenture, 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, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, 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, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Alternative Debenture, 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, 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 John Clutterbuck

  IRN DJC01492

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (16 May 2015 to 8 Dec 2019)
• David Jonathan Bennett

  IRN DJB01310

  • SMF13 Chair of the Nominations Committee (9 Dec 2019 to 20 Apr 2022)
  • CF2 Non Executive Director (10 Apr 2015 to 8 Dec 2019)
• David Michael Orr

  IRN DMO01029

  • CF30 Customer (13 Feb 2014 to 11 Sep 2015)
• Dhiren Shah

  IRN DXS01832

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (1 Sep 2017 to 8 Dec 2019)
• Diana Susan Pendrich

  IRN DSP01069

  • SMF5 Head of Internal Audit (since 9 Dec 2019)
  • CF28 Systems and controls (26 Feb 2015 to 8 Dec 2019)
• Dominick Edward Peasley

  IRN DEP01051

  • CF30 Customer (9 Nov 2011 to 12 Feb 2013)
• Edward Caesar Barraud Bryan

  IRN ECB01056

  • CF30 Customer (6 Jun 2016 to 6 Jun 2016)
• Edward Evans

  IRN EXE01194

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (20 Sep 2017 to 8 Dec 2019)
• Edward Peter Cole

  IRN EPC01011

  • CF30 Customer (1 Nov 2007 to 1 Mar 2010)
  • CF26 Customer Trading (2 May 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (2 May 2007 to 31 Oct 2007)
• Edward Soekamto

  IRN EXS01490

  • CF30 Customer (10 Jul 2013 to 29 Jan 2016)

No changes recorded yet.