BNP Paribas Asset Management UK Limited

• Principal Place of Business

  5 Aldermanbury Square

  London

  EC2V 7BP

  UNITED KINGDOM

  Phone

  +442075952000

  Web

  https://www.bnpparibas-am.co.uk

• Complaints Contact

  5 Aldermanbury Square

  London

  EC2V 7BP

  UNITED KINGDOM

  Phone

  +442075952000

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, 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, 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, Alternative Debenture, 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, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Alternative Debenture, 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, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, 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, 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, Alternative Debenture, 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, 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.

• Raul Jorge Fino Leote De Carvalho

  IRN RJF01057

  • CF30 Customer (1 Nov 2007 to 20 Nov 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Richard Barwell

  IRN RDB01148

  • [FCA CF] Material risk taker (2 Jan 2024 to 31 Dec 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2025)
  • CF30 Customer (28 Oct 2015 to 8 Dec 2019)
• Richard Guy Davies

  IRN RGD01037

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (9 Dec 2019 to 30 Jun 2020)
  • CF3 Chief Executive (1 Dec 2016 to 8 Dec 2019)
  • CF1 Director (1 Jun 2016 to 8 Dec 2019)
  • CF30 Customer (13 Mar 2015 to 8 Dec 2019)
• Ricky Shui Fai Ho

  IRN RSH01048

  • CF1 Director (1 Dec 2001 to 30 Sep 2002)
  • CF27 Investment Management (1 Dec 2001 to 8 Oct 2002)
• Ritesh Chauhan

  IRN RXC01562

  • CF30 Customer (1 Jul 2010 to 1 Jan 2013)
• Robert Gambi

  IRN RJG01150

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2025)
• Robert Patrick Ryan

  IRN RPR01068

  • CF30 Customer (1 Oct 2010 to 31 Dec 2011)
• Rodolphe Guillaume Francois Brillet De Cande

  IRN RGB01092

  • CF30 Customer (1 Nov 2007 to 29 Oct 2008)
  • CF27 Investment Management (13 May 2004 to 31 Oct 2007)
• Roger Paul Miners

  IRN RPM01039

  • SMF1 Chief Executive (since 1 Jul 2020)
  • SMF3 Executive Director (since 1 Jul 2020)
• Roger William Price-Haworth

  IRN RWP01039

  • CF30 Customer (16 Feb 2011 to 2 Sep 2013)

No changes recorded yet.