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.

Mark Charles David Dowding
IRN MCD01032
- SMF27 Partner (since 9 Dec 2019)
- [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2023)
- [FCA CF] Material risk taker (9 Dec 2019 to 1 Apr 2023)
- CF30 Customer (2 Apr 2012 to 8 Dec 2019)
- CF4 Partner (2 Apr 2012 to 8 Dec 2019)
Mark Christoph Maurice Jochims
IRN MCJ01046
- CF30 Customer (18 May 2012 to 30 Oct 2019)
Mark Christopher Johnson
IRN MXJ01502
- CF30 Customer (29 Jun 2012 to 11 Sep 2013)
Mark Edward Harrison
IRN MEH01053
- [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2023)
- CF30 Customer (2 Apr 2012 to 8 Dec 2019)
Mark MacLennan Bathgate
IRN MMB01023
- CF30 Customer (2 Aug 2016 to 8 May 2019)
Mark Nicholas John Poole
IRN MNP01010
- CF30 Customer (2 Apr 2012 to 1 Dec 2015)
- CF4 Partner (2 Apr 2012 to 1 Dec 2015)
Martin Alexander Michael Felix Munte
IRN MAM01350
- CF30 Customer (2 Apr 2012 to 9 Nov 2018)
Matteo Ranzato
IRN MXR02582
- CF30 Customer (8 Jan 2016 to 23 Nov 2017)
Matthew Garnett
IRN MDG01112
- CF30 Customer (24 Jul 2013 to 18 Dec 2014)
Matthew James Rawlings
IRN MXR00170
- [FCA CF] Client dealing (1 Apr 2020 to 1 Apr 2023)

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.