Columbia Threadneedle REP AM Limited

• Principal Place of Business

  CANNON PLACE

  78 CANNON STREET

  London

  EC4N 6AG

  UNITED KINGDOM

  Phone

  +442074645000

  Web

  https://www.rep.columbiathreadneedle.com

• Complaints Contact

  CANNON PLACE

  78 CANNON STREET

  London

  EC4N 6AG

  UNITED KINGDOM

  Phone

  +442074645000

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Commercial, 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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.

• 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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, Funeral plan contract, 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

• Insurance Admin

  For Commercial, Non-investment insurance contracts

• 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, Funeral plan contract, 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.

• 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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.

• 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, Funeral plan contract, 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.

• Nicholas Patrick Pennington

  IRN NPP01010

  • CF27 Investment Management (10 Apr 2007 to 25 May 2007)
• Nicholas Rupert MacAndrew

  IRN NRM01029

  • CF2 Non Executive Director (23 Feb 2010 to 3 Feb 2011)
• Nick Criticos

  IRN NXC01097

  • CF30 Customer (23 Sep 2010 to 7 Jul 2015)
  • CF3 Chief Executive (4 Mar 2009 to 20 May 2019)
  • CF1 Director (4 Mar 2009 to 20 May 2019)
  • CF29 Significant management (1 Nov 2007 to 4 Mar 2009)
  • CF17 Significant Mgt (Other Business Operations) (23 Nov 2004 to 31 Oct 2007)
• Nigel David Parry

  IRN NDP01055

  • SMF17 Money Laundering Reporting Officer (MLRO) (30 Sep 2022 to 28 Apr 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 28 Apr 2023)
  • CF10 Compliance Oversight (17 Jun 2013 to 8 Dec 2019)
• Nora O'Mahony

  IRN NAO01009

  • [FCA CF] Material risk taker (1 Jun 2021 to 30 Jun 2024)
  • [FCA CF] Manager of certification employee (1 Jun 2021 to 30 Jun 2024)
  • [FCA CF] Significant management (1 Jun 2020 to 30 Jun 2024)
• Norhazardin Shah Bin Nordin

  IRN NSN01013

  • CF28 Systems and controls (31 Mar 2015 to 11 Apr 2018)
• Patrick Norman Chaloner Johns

  IRN PNJ01007

  • CF29 Significant management (1 Nov 2007 to 21 May 2008)
  • CF17 Significant Mgt (Other Business Operations) (23 Nov 2004 to 31 Oct 2007)
• Patrick Pierre Hubert Hendrikx

  IRN PPH01020

  • CF29 Significant management (1 Nov 2007 to 4 Feb 2010)
  • CF30 Customer (1 Nov 2007 to 4 Feb 2010)
  • CF16 Significant Mgt (Desgntd Investment Business) (12 Sep 2005 to 31 Oct 2007)
  • CF27 Investment Management (12 Sep 2005 to 31 Oct 2007)
• Paul Brian Allison

  IRN PBA01007

  • CF30 Customer (1 Nov 2007 to 12 Feb 2008)
  • CF27 Investment Management (19 Jan 2007 to 31 Oct 2007)
• Paul Grice

  IRN PXG01145

  • CF30 Customer (1 Nov 2007 to 4 Feb 2010)
  • CF27 Investment Management (5 Jun 2006 to 31 Oct 2007)

No changes recorded yet.