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.

• Jake William Ward

  IRN JWW01129

  • [FCA CF] Client dealing (9 Dec 2019 to 2 Jan 2025)
  • CF30 Customer (27 Jul 2018 to 8 Dec 2019)
• James Neilson Pettigrew

  IRN JNP01022

  • CF1 Director (16 Mar 2007 to 31 Oct 2007)
  • CF13 Finance (17 Aug 2006 to 31 Oct 2007)
• Jan Dehn

  IRN JXD01380

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 27 Oct 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 27 Oct 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 27 Oct 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (25 May 2005 to 31 Oct 2007)
• Jennifer Johan Bingham

  IRN JJB01065

  • SMF12 Chair of the Remuneration Committee (since 19 Jun 2024)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF2 Non Executive Director (3 Jul 2018 to 8 Dec 2019)
• Jerome Paul Booth

  IRN JPB01162

  • CF30 Customer (1 Nov 2007 to 1 May 2013)
  • CF21 Investment Adviser (15 May 2002 to 31 Oct 2007)
• Jinyang Liu

  IRN JXL01902

  • CF30 Customer (6 May 2015 to 29 Jan 2016)
• Joanna Malgorzata Kazimierczak-Kalmer

  IRN JXK01195

  • CF30 Customer (1 Nov 2007 to 28 Feb 2011)
  • CF27 Investment Management (4 Jul 2006 to 31 Oct 2007)
  • CF26 Customer Trading (26 Apr 2005 to 7 Jul 2006)
  • CF21 Investment Adviser (26 Apr 2005 to 7 Jul 2006)
• Joanne Baxter

  IRN JEB01187

  • CF30 Customer (5 Feb 2008 to 20 Apr 2010)
• Joao Neves

  IRN JXN01365

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (30 Dec 2011 to 8 Dec 2019)
• Joe Gerard O'Shea

  IRN JGO00020

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Oct 2021)
  • CF30 Customer (20 Jan 2010 to 8 Dec 2019)

No changes recorded yet.