Conning Asset Management Limited

• Principal Place of Business

  Conning Asset Management Ltd

  24 Monument Street

  London

  City Of London

  EC3R 8AJ

  UNITED KINGDOM

  Phone

  +4402073371958

  Web

  https://www.conning.com

• Complaints Contact

  Conning Asset Management Ltd

  24 Monument Street

  London

  City Of London

  EC3R 8AJ

  UNITED KINGDOM

  Phone

  +4402073371958

• 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, 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, Spread Bet, Unit, Warrant

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  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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 unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Authorised to Operate

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  • · 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, 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, Spread Bet, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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 sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · Limited to dealing-only activities.
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• 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, 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, Spread Bet, 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, 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, Spread Bet, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Limited to stocklending activities and in carrying on such activities to the securities listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with these specified investments).
  • · 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 repurchase agreement activities and in carrying on these activities to the securities, "government and public security", "certificate representing certain security", and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · 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, 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, Spread Bet, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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 transaction-only activities.
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• 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, 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, Spread Bet, 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.

• Abdul Gafar Oladipupo Danmola

  IRN AXD00344

  • [FCA CF] Client dealing (since 1 Oct 2024)
• Alan Hickey

  IRN AXH01612

  • CF3 Chief Executive (9 Nov 2004 to 24 May 2007)
  • CF8 Apportionment and Oversight (9 Nov 2004 to 24 May 2007)
  • CF1 Director (4 Feb 2004 to 24 May 2007)
• Alan McCormick

  IRN AJM01458

  • CF10 Compliance Oversight (9 Aug 2012 to 19 Dec 2012)
  • CF3 Chief Executive (12 Nov 2009 to 13 Dec 2012)
  • CF29 Significant management (1 Nov 2007 to 31 Jan 2014)
  • CF28 Systems and controls (1 Nov 2007 to 31 Jan 2014)
  • CF1 Director (6 Jun 2007 to 31 Jan 2014)
  • CF13 Finance (6 Apr 2004 to 31 Oct 2007)
  • CF19 Significant Mgt (Financial Resources) (6 Apr 2004 to 31 Oct 2007)
  • CF14 Risk Assessment (6 Apr 2004 to 31 Oct 2007)
• Andrew Charles Francis Lockhart

  IRN AXL00714

  • [FCA CF] Client dealing (since 4 Oct 2024)
• Andrew Mulliner

  IRN AJM01654

  • [FCA CF] Manager of certification employee (since 21 Oct 2025)
  • [FCA CF] Client dealing (since 22 May 2024)
• Anke Nikola Richter

  IRN AXR01256

  • CF30 Customer (12 Aug 2013 to 27 Jul 2015)
• Anthony Wayne Maximchuk

  IRN AWM01056

  • CF30 Customer (1 Nov 2007 to 29 Dec 2009)
  • CF3 Chief Executive (31 May 2007 to 9 Oct 2009)
  • CF8 Apportionment and Oversight (31 May 2007 to 31 Oct 2007)
  • CF1 Director (4 Dec 2003 to 9 Oct 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Antje Lechner

  IRN AXL23216

  • [FCA CF] Client dealing (1 Dec 2020 to 10 Feb 2023)
  • CF30 Customer (11 Nov 2019 to 8 Dec 2019)
• Benjamin Dominique Adrien Philippe Bouchet

  IRN BDB01030

  • [FCA CF] Client dealing (1 Nov 2021 to 31 Dec 2021)
• Benjamin Edward Hamilton

  IRN BEH01029

  • [FCA CF] Manager of certification employee (since 24 Oct 2025)
  • [FCA CF] Material risk taker (since 9 Feb 2023)
  • [FCA CF] Client dealing (since 1 Dec 2020)
  • CF30 Customer (5 Aug 2013 to 8 Dec 2019)

No changes recorded yet.