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.

• Philip Simon Wright

  IRN PSW01034

  • CF27 Investment Management (1 Dec 2001 to 30 Apr 2004)
• Richard Kirkwood Banks

  IRN RKB01045

  • CF14 Risk Assessment (1 Dec 2001 to 30 Jun 2004)
  • CF19 Significant Mgt (Financial Resources) (1 Dec 2001 to 30 Jun 2004)
  • CF13 Finance (1 Dec 2001 to 30 Jun 2004)
• Rishi Sharma

  IRN RXS00967

  • [FCA CF] Client dealing (since 29 Nov 2023)
• Roger John Bishop

  IRN RJB01185

  • CF27 Investment Management (1 Dec 2001 to 2 Aug 2004)
• Russell David Oxley

  IRN RDO01006

  • CF27 Investment Management (1 Dec 2001 to 28 Nov 2003)
• Russell Thomas Busst

  IRN RTB01031

  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF3 Chief Executive (13 Dec 2012 to 8 Dec 2019)
  • CF30 Customer (18 Nov 2011 to 8 Dec 2019)
  • CF1 Director (18 Nov 2011 to 8 Dec 2019)
• Sheree Denise Whatley

  IRN SDW01055

  • CF2 Non Executive Director (1 Dec 2001 to 31 Jan 2004)
• Simon Andrew Hawkins

  IRN SAH01069

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (12 Oct 2015 to 8 Dec 2019)
  • CF30 Customer (6 Feb 2012 to 8 Dec 2019)
• Simon John Gaillard Bennett

  IRN SXB01467

  • CF28 Systems and controls (1 Nov 2007 to 8 Oct 2009)
  • CF15 Internal Audit (1 Sep 2006 to 31 Oct 2007)
• Susan Claire Holliday

  IRN SCH01077

  • CF30 Customer (1 Nov 2007 to 9 Oct 2009)
  • CF21 Investment Adviser (7 Dec 2006 to 31 Oct 2007)

No changes recorded yet.