Baring Asset Management Limited

• Principal Place of Business

  20 Old Bailey

  London

  EC4M 7BF

  UNITED KINGDOM

  Phone

  +442076286000

  Web

  https://www.barings.com

• Complaints Contact

  20 Old Bailey

  London

  EC4M 7BF

  UNITED KINGDOM

  Phone

  +4402072141254

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• 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, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Limited to dealing-only activities.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Retail (Investment), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), 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 4 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · The firm is not authorised to deal on own account - The firm is not authorised to deal on own account (as defined in The Glossary to the FCA Handbook of Rules and Guidance), or provide the investment services of underwriting or placing financial instruments on a firm commitment basis (as referred to in point 6 of Section A of Annex 1 of MiFID)
  • · Except as provided elsewhere by way of limitation, Permitted to deal in investments as principal only in relation to the acquisition or disposal of non-trading book positions in financial instruments in order to invest capital resources.
  • · Except as provided elsewhere by way of limitation, limited to unregulated collective investment scheme box operations and in carrying on such operations to the specified investment types "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)", and "right to or interest in investments - contractually based investments", (when the latter is associated with these specified investments).

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Retail (Investment), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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 Salmon

  IRN JXS01992

  • [FCA CF] Client dealing (9 Dec 2019 to 20 Dec 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 20 Dec 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 31 Dec 2024)
  • CF29 Significant management (19 Sep 2018 to 8 Dec 2019)
  • Responsible for Insurance Mediation (19 Sep 2018 to 30 Sep 2018)
• James Thorne

  IRN JMT01080

  • CF30 Customer (1 Nov 2007 to 29 Jan 2010)
  • CF27 Investment Management (4 Jan 2005 to 31 Oct 2007)
• James Whittaker

  IRN JXW00638

  • [FCA CF] Client dealing (since 17 Jan 2022)
  • [FCA CF] Manager of certification employee (since 31 Mar 2021)
• Jan Hartmut Albers

  IRN JHA01015

  • CF27 Investment Management (1 Dec 2001 to 6 Jun 2002)
• Jan Mantel

  IRN JXM01667

  • CF27 Investment Management (1 Dec 2001 to 27 Jun 2003)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 27 Jun 2003)
• Jane Deborah Smettem

  IRN JDS01066

  • CF27 Investment Management (1 Dec 2001 to 18 Mar 2003)
• Jane Mackett

  IRN JXM02339

  • CF14 Risk Assessment (11 May 2005 to 20 Oct 2006)
• Javier Cort Rosello

  IRN JXC00892

  • [FCA CF] Client dealing (since 16 May 2022)
• Jawad Malik

  IRN JXM01299

  • SMF24 Chief Operations (15 Feb 2023 to 8 Apr 2026)
• Jean-Louis Patrick Scandella

  IRN JPS01257

  • CF30 Customer (29 Dec 2014 to 16 Nov 2016)
  • CF29 Significant management (1 Sep 2014 to 16 Nov 2016)

• Baring Global Fund Managers Limited (no longer appointed)

  FRN 155149 · Appointed 6 Dec 1995 · Until 19 Aug 2002

No changes recorded yet.