BlueBay Asset Management LLP

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FRN: 571599
Date authorised: 1 April 2013
Companies House: OC370085
Last scraped: 2 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

4th Floor

100 Bishopsgate

London

EC2N 4AA

UNITED KINGDOM

Phone

+4402076534000

Web

https://www.rbcbluebay.com
Complaints Contact

4th Floor

100 Bishopsgate

London

EC2N 4AA

UNITED KINGDOM

Phone

+442076534000

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

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, 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.
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, 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 3 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.
- · Limited to investment management activities and in carrying on these activities to the customer types "Professional Client" and "Eligible Counterparty".
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, 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, 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 3 limitations Hide limitations
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Limited to investment management activities and in carrying on these activities to the customer types "Professional Client" and "Eligible Counterparty".
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, 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 3 limitations Hide limitations
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Limited to investment management activities and in carrying on these activities to the customer types "Professional Client" and "Eligible Counterparty".
Private Investment Funds
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, 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 3 limitations Hide limitations
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Limited to investment management activities and in carrying on these activities to the customer types "Professional Client" and "Eligible Counterparty".

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

John Stephen Shaw
IRN JXS15024
- [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2023)
- CF30 Customer (24 Jun 2019 to 8 Dec 2019)
Jon Reepen
IRN JXR02434
- CF30 Customer (19 Jun 2018 to 30 Oct 2019)
Jonathan Richard Fewster Watson
IRN JRW01298
- CF30 Customer (6 Oct 2017 to 30 Oct 2019)
Jonathan Yedidia Fayman
IRN JYF01004
- CF30 Customer (2 Apr 2012 to 26 Nov 2014)
Julie Priscilla Leung-How
IRN JPL01134
- CF30 Customer (1 Feb 2016 to 31 Oct 2016)
Julien Emmanuel Jozereau
IRN JEJ01055
- CF30 Customer (16 Jan 2015 to 27 Jul 2015)
Justin James Oliver Jewell
IRN JXJ01197
- [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2023)
- [FCA CF] Material risk taker (9 Dec 2019 to 1 Apr 2023)
- CF4 Partner (7 Apr 2016 to 1 Nov 2019)
- CF30 Customer (2 Apr 2012 to 8 Dec 2019)
Kalpana Lang
IRN KXP01421
- CF30 Customer (18 May 2012 to 30 Oct 2019)
Karina Bennedette Sadler
IRN KBS01026
- CF30 Customer (2 Apr 2012 to 8 Oct 2015)
Karthi Jayaraman Mowdhgalya
IRN KJM01172
- CF30 Customer (19 Feb 2013 to 30 Oct 2019)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.