BlueBay Asset Management LLP

• 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

• 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".

• Michael Jonathan Reed

  IRN MJR01184

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2023)
  • CF4 Partner (2 Apr 2012 to 1 Nov 2019)
  • CF30 Customer (2 Apr 2012 to 8 Dec 2019)
• Michael Robert Silk

  IRN MRS01272

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2023)
  • CF30 Customer (26 Jun 2012 to 8 Dec 2019)
• Michael Thomas Jenkins

  IRN MTJ01026

  • CF30 Customer (15 Mar 2018 to 24 May 2019)
• Michael Timotheou

  IRN MXT02223

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Mar 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 28 Mar 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Apr 2023)
  • CF11 Money Laundering Reporting (3 Dec 2019 to 8 Dec 2019)
  • CF4 Partner (6 Apr 2016 to 1 Nov 2019)
  • CF10 Compliance Oversight (6 Apr 2016 to 8 Dec 2019)
• Mihai Alin Florian

  IRN MAF01091

  • [FCA CF] Material risk taker (1 Jan 2022 to 1 Apr 2023)
  • [FCA CF] Client dealing (6 Jan 2020 to 1 Apr 2023)
• Mona Yogendra Patel

  IRN MYP01003

  • CF30 Customer (2 Apr 2012 to 8 Dec 2019)
• Monica Yan

  IRN MXY01227

  • [FCA CF] Client dealing (13 Mar 2023 to 1 Apr 2023)
• Monique Francoise Velda Brown

  IRN MFB01102

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Mar 2022)
  • CF4 Partner (11 Apr 2016 to 1 Nov 2019)
• My-Linh Ngo

  IRN MXN00128

  • [FCA CF] Client dealing (10 Mar 2021 to 1 Apr 2023)
• Natalie Jane Benitez-Castellano

  IRN NJB01270

  • CF4 Partner (2 Apr 2012 to 31 Dec 2017)

No changes recorded yet.