Edmond de Rothschild Asset Management (UK) Limited

Date authorised
1 April 2013
Companies House
02144903
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Edmond De Rothschild Ltd
    4 Carlton Gardens
    London
    Westminster
    SW1Y 5AA
    UNITED KINGDOM
    Phone
    +4402078455900
    Web
    https://edmond-de-rothschild.com

  • Complaints Contact

    Edmond De Rothschild Ltd
    4 Carlton Gardens
    London
    Westminster
    SW1Y 5AA
    UNITED KINGDOM
    Phone
    +4402078455900

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • 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

    Show 1 limitation
    • · 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
    • · 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 1 limitation
    • · 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, 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
    • · 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 2 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.
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • 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 1 limitation
    • · 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 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Christophe Stephane Caspar

    IRN CSC01037

    • SMF9 Chair of the Governing Body (since 9 Dec 2019)
    • CF2 Non Executive Director (30 Jul 2019 to 8 Dec 2019)
  • Corinne Crawford

    IRN CXC02062

    • [FCA CF] Client dealing (since 21 Oct 2021)
  • Cyril Gerard Plais

    IRN CGP01049

    • CF30 Customer (8 Aug 2012 to 10 Jul 2017)
  • Daniel Thomas Lee

    IRN DTL01026

    • CF30 Customer (2 Nov 2015 to 2 Feb 2017)
  • David Falcon

    IRN DXF01151

    • [FCA CF] Client dealing (9 Dec 2019 to 5 Jul 2021)
    • CF30 Customer (16 Oct 2014 to 8 Dec 2019)
  • David Unitt

    IRN DXU01043

    • CF30 Customer (8 Aug 2012 to 13 Nov 2012)
  • Dennis Edward Warburton Mackay

    IRN DEM01038

    • CF30 Customer (25 Jun 2013 to 4 Apr 2017)
  • Didier Georges Deleage

    IRN DGD01057

    • CF2 Non Executive Director (3 Oct 2017 to 1 Oct 2019)
  • Elizabeth Anne Horner

    IRN EAH01023

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Aug 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 22 Aug 2022)
    • SMF3 Executive Director (9 Dec 2019 to 7 Mar 2023)
    • CF1 Director (16 Sep 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (26 Jun 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (30 Jun 2016 to 8 Dec 2019)
  • Elizabeth Mary Lutley

    IRN EML01020

    • CF30 Customer (14 Mar 2018 to 8 Dec 2019)
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Recent activity

Updates to this firm's record on the FCA register.

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