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.

• Joseph Plank

  IRN JXP00126

  • [FCA CF] Manager of certification employee (since 23 Dec 2024)
  • [FCA CF] Client dealing (since 2 Oct 2024)
• Julian Timothy Swayne

  IRN JTS01035

  • SMF1 Chief Executive (9 Dec 2019 to 30 Jul 2023)
  • SMF3 Executive Director (9 Dec 2019 to 30 Jul 2023)
  • CF3 Chief Executive (29 Sep 2017 to 8 Dec 2019)
  • CF29 Significant management (17 Jan 2013 to 15 Sep 2017)
  • CF28 Systems and controls (1 Nov 2007 to 9 May 2018)
  • CF1 Director (15 Aug 2005 to 17 Jan 2013)
  • CF15 Internal Audit (5 May 2005 to 7 Dec 2006)
  • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • CF19 Significant Mgt (Financial Resources) (1 Dec 2001 to 15 Aug 2005)
• Julianne Rusie Tarnow

  IRN JXR00884

  • [FCA CF] Client dealing (since 25 Nov 2024)
• Justin Lee David Brotherton

  IRN JLB01057

  • CF21 Investment Adviser (24 Jun 2002 to 21 Oct 2003)
  • CF27 Investment Management (1 Dec 2001 to 6 Jun 2002)
• Justin THomas Palmer

  IRN JXP19454

  • SMF24 Chief Operations (9 Dec 2019 to 24 Mar 2021)
  • CF29 Significant management (19 Nov 2019 to 8 Dec 2019)
• Kantilal Vekaria

  IRN KXV01215

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (6 Dec 2017 to 8 Dec 2019)
• Karan Talwar

  IRN KXT00165

  • [FCA CF] Client dealing (since 31 Jan 2022)
• Katharine Diana Munday

  IRN KDM01011

  • CF27 Investment Management (1 Dec 2001 to 2 Feb 2005)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 26 Jul 2004)
• Katherine Louise Kemp Godfrey

  IRN KXK00297

  • SMF3 Executive Director (since 31 Jul 2023)
  • [FCA CF] Material risk taker (since 22 Nov 2022)
• Katherine Moretti

  IRN KXM01484

  • [FCA CF] Client dealing (since 7 Jun 2021)
  • [FCA CF] Manager of certification employee (3 Aug 2023 to 26 Aug 2025)

• Baring Global Fund Managers Limited (no longer appointed)

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

No changes recorded yet.