Epoch Investment Partners UK, Ltd

• Principal Place of Business

  4th Floor Carrington House

  126-130 Regent Street

  London

  W1B 5SE

  UNITED KINGDOM

  Phone

  +442038793900

• Complaints Contact

  126-130 Regent Street

  London

  Westminster

  W1B 5SE

  UNITED KINGDOM

  Phone

  +442030052500

• 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, Unit, Warrant

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  • · 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

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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, Unit, Warrant

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  • · 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), Share, Spread Bet, Unit, Warrant

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  • · 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, 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 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.

• Adam Borak

  IRN AXB03675

  • SMF3 Executive Director (9 Dec 2019 to 26 May 2023)
  • CF1 Director (15 Mar 2016 to 8 Dec 2019)
• David Andrew Barnett

  IRN DAB01354

  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Feb 2024 to 15 Sep 2025)
  • SMF3 Executive Director (9 Dec 2019 to 20 Mar 2026)
  • SMF16 Compliance Oversight (9 Dec 2019 to 15 Sep 2025)
  • CF10 Compliance Oversight (15 Mar 2016 to 8 Dec 2019)
  • CF1 Director (15 Mar 2016 to 8 Dec 2019)
• Emmet Naughton

  IRN EXN01184

  • [FCA CF] Client dealing (1 Sep 2021 to 8 Jun 2023)
• James Anthony Lovatt

  IRN JAL01313

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Nov 2023)
  • CF11 Money Laundering Reporting (12 Jan 2018 to 8 Dec 2019)
• Jason Bermont-Penn

  IRN JRP01175

  • [FCA CF] Client dealing (since 1 Jun 2024)
• John Stanley Wynn

  IRN JSW01137

  • CF11 Money Laundering Reporting (15 Mar 2016 to 10 Nov 2017)
• John Stephen Fraser Millar

  IRN JSM01097

  • CF11 Money Laundering Reporting (15 Nov 2017 to 12 Jan 2018)
  • CF30 Customer (15 Mar 2016 to 30 Aug 2019)
  • CF3 Chief Executive (15 Mar 2016 to 30 Aug 2019)
  • CF1 Director (15 Mar 2016 to 30 Aug 2019)
• Jonathan Jordan

  IRN JXJ00137

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Sep 2025)
  • SMF16 Compliance Oversight (since 10 Sep 2025)
  • SMF3 Executive Director (since 6 Jul 2023)
• Julie Sherratt

  IRN JXS04413

  • Director of firm who is not a certification employee or a SMF manager (since 6 Mar 2026)
• Katie Lynne Rickards

  IRN KLR01047

  • CF30 Customer (5 Oct 2016 to 6 May 2019)

No changes recorded yet.