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.

• Christopher Luke Ellis

  IRN CLE01046

  • CF30 Customer (29 Aug 2018 to 8 Dec 2019)
• Christopher Michael Sawyer

  IRN CMS01168

  • [FCA CF] Client dealing (since 10 Jul 2024)
  • [FCA CF] Material risk taker (since 10 Jul 2024)
  • [FCA CF] Manager of certification employee (since 10 Jul 2024)
  • [FCA CF] Algorithmic trading (10 Jul 2024 to 11 Jul 2024)
  • SMF18 Other Overall Responsibility (14 Aug 2023 to 9 Jul 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 13 Aug 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 13 Aug 2023)
  • CF30 Customer (7 Jul 2009 to 8 Dec 2019)
• Clodagh Dorothy Bourke

  IRN CDB01169

  • CF30 Customer (11 Oct 2017 to 8 Dec 2019)
• Craig Abouchar

  IRN CXA01225

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 11 Apr 2025)
  • CF30 Customer (17 May 2016 to 8 Dec 2019)
• Daniel Gordon

  IRN DXG00517

  • [FCA CF] Client dealing (since 8 Jan 2024)
• David Albert Wilmot

  IRN DXW01261

  • CF29 Significant management (31 Jan 2012 to 22 Jul 2016)
  • CF30 Customer (1 Nov 2007 to 22 Jul 2016)
  • CF1 Director (1 Dec 2001 to 26 Apr 2004)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• David John Brennan

  IRN DJB01210

  • CF2 Non Executive Director (1 Feb 2012 to 24 Jun 2016)
• David Thomas Hirschmann

  IRN DXH01360

  • CF30 Customer (1 Nov 2007 to 26 May 2015)
  • CF27 Investment Management (23 Mar 2006 to 31 Oct 2007)
• Don Nguyen

  IRN DXN01248

  • CF30 Customer (20 Jan 2012 to 8 Dec 2019)
• Duncan Jeffrey Robertson

  IRN DXR17132

  • CF29 Significant management (7 Oct 2019 to 8 Dec 2019)

No changes recorded yet.