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.

• James John Dawson

  IRN JJD01130

  • [FCA CF] Manager of certification employee (since 5 Mar 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (19 May 2014 to 8 Dec 2019)
• Jawad Malik

  IRN JXM01299

  • SMF24 Chief Operations (15 Feb 2023 to 8 Apr 2026)
• Jeffrey Philip Belkin

  IRN JPB01151

  • CF1 Director (23 Jan 2002 to 26 Apr 2004)
  • CF13 Finance (23 Jan 2002 to 26 Apr 2004)
• Jens Muller

  IRN JXM02485

  • CF30 Customer (11 Aug 2011 to 29 Jul 2013)
• Jill Dinerman

  IRN JXD18547

  • SMF9 Chair of the Governing Body (since 31 Jul 2023)
• Jintao Liang

  IRN JXL01942

  • CF30 Customer (30 Apr 2014 to 28 Jan 2019)
• Joanna Louise Raymond

  IRN JLR01124

  • CF30 Customer (26 Apr 2018 to 8 Dec 2019)
• John Christopher Mozeen Hudson

  IRN JCH01084

  • CF1 Director (1 Dec 2001 to 24 Jan 2002)
  • CF13 Finance (1 Dec 2001 to 24 Jan 2002)
• John Hazelton

  IRN JXH01368

  • CF28 Systems and controls (1 Nov 2007 to 3 Jan 2012)
  • CF30 Customer (1 Nov 2007 to 3 Jan 2012)
  • CF11 Money Laundering Reporting (13 Apr 2004 to 19 Oct 2007)
  • CF10 Compliance Oversight (13 Apr 2004 to 16 Nov 2007)
  • CF13 Finance (13 Apr 2004 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 19 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Feb 2012)
  • CF3 Chief Executive (1 Dec 2001 to 3 Jan 2012)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Jonathan Millin

  IRN JXM01820

  • SMF18 Other Overall Responsibility (since 24 Mar 2025)
  • [FCA CF] Material risk taker (1 Feb 2024 to 24 Mar 2025)

No changes recorded yet.