BARINGS (U.K.) 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, 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.

• 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 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, 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 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, 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 4 limitations Hide limitations

  • · 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).
  • · Permitted to deal in investments as principal only - 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.
  • · 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)
  • · 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.

• 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 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, 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.

• Peter James Clark

  IRN PJC01375

  • CF29 Significant management (1 Feb 2012 to 22 Mar 2018)
  • CF10 Compliance Oversight (11 Jan 2012 to 12 Feb 2016)
• Petrus du Toit Welman

  IRN PDW01116

  • CF30 Customer (12 Aug 2015 to 8 Dec 2019)
• Pierre Bruno Eliseo Giannini

  IRN PBG01030

  • CF30 Customer (22 Sep 2014 to 6 Nov 2015)
• Rajeev Maganlal Govindji Shah

  IRN RMS01199

  • SMF5 Head of Internal Audit (since 9 Dec 2019)
  • CF28 Systems and controls (3 May 2018 to 8 Dec 2019)
• Richard John Kent

  IRN RJK01134

  • SMF3 Executive Director (9 Dec 2019 to 4 May 2021)
  • SMF4 Chief Risk (9 Dec 2019 to 2 Jun 2025)
  • CF1 Director (11 Oct 2017 to 8 Dec 2019)
  • CF28 Systems and controls (16 Dec 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (8 Feb 2016 to 15 Dec 2016)
  • CF10 Compliance Oversight (8 Feb 2016 to 1 Dec 2016)
• Rishi Patel

  IRN RXP01878

  • CF30 Customer (29 Aug 2018 to 8 Dec 2019)
• Ritchie Oriol

  IRN RXO01164

  • [FCA CF] Client dealing (since 2 Aug 2023)
  • [FCA CF] Manager of certification employee (since 2 Aug 2023)
• Robel Embaie

  IRN RXE01272

  • CF30 Customer (15 Jun 2012 to 31 Dec 2013)
• Robert Gordon Faulkner

  IRN RGF01053

  • [FCA CF] Client dealing (9 Dec 2019 to 27 May 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 27 May 2020)
  • CF30 Customer (22 Mar 2010 to 8 Dec 2019)
• Roger William Crandall

  IRN RWC01073

  • CF30 Customer (1 Nov 2007 to 12 Dec 2008)
  • CF27 Investment Management (15 Apr 2004 to 31 Oct 2007)
  • CF1 Director (8 Mar 2004 to 12 Dec 2008)

No changes recorded yet.