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".

• Anthony David Pickering

  IRN ADP01111

  • SMF27 Partner (9 Jun 2020 to 1 Apr 2023)
  • [FCA CF] Material risk taker (31 Mar 2020 to 1 Apr 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2023)
  • CF30 Customer (13 Sep 2012 to 8 Dec 2019)
• Anthony Garnard Lisle Kettle

  IRN AGK01052

  • [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 (21 Feb 2013 to 8 Dec 2019)
• Anthony Peter Fobel

  IRN APF01027

  • CF29 Significant management (18 Jan 2018 to 30 Oct 2019)
  • CF4 Partner (2 Apr 2012 to 18 Jan 2018)
  • CF30 Customer (2 Apr 2012 to 30 Oct 2019)
• Arnaud Bertrand marie Piens

  IRN ABP01048

  • CF30 Customer (3 Nov 2015 to 30 Oct 2019)
• Ashley Farrell Blatter

  IRN AFB01039

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2023)
  • CF30 Customer (1 Aug 2019 to 8 Dec 2019)
• Ashley Grant Royston Wright

  IRN AGW01105

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2023)
  • CF30 Customer (2 Apr 2012 to 8 Dec 2019)
• Ausra Vysniauske

  IRN AXB04135

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2021)
  • CF30 Customer (7 Mar 2018 to 8 Dec 2019)
• Baptiste Vilain

  IRN BXV01102

  • CF30 Customer (24 Jan 2017 to 30 Oct 2019)
• Bashir Farukh

  IRN BXF19693

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2023)
  • CF30 Customer (4 Sep 2019 to 8 Dec 2019)
• Ben Thompson

  IRN BXT01228

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2023)
  • CF30 Customer (30 Jan 2014 to 8 Dec 2019)

No changes recorded yet.