J. Safra Sarasin Asset Management (Europe) Ltd

• Principal Place of Business

  47 Berkeley Square

  London

  W1J 5AU

  UNITED KINGDOM

  Phone

  +442039649000

• Complaints Contact

  47 Berkeley Square

  London

  W1J 5AU

  UNITED KINGDOM

  Phone

  +442039649000

• 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

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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, 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.

• 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

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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.

• Runs Investment Funds

• 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

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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.

• Private Investment Funds

• 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

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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.

• Guido Brandolini

  IRN GXB02283

  • [FCA CF] Client dealing (since 7 Nov 2022)
• Hella Alashkar

  IRN HXA00126

  • [FCA CF] Client dealing (1 Jul 2021 to 31 Oct 2024)
  • [FCA CF] Significant management (1 Jul 2021 to 31 Oct 2024)
• JOHN IAIN SERGEANT

  IRN JIS00024

  • CF1 Director (6 Nov 2015 to 29 Nov 2017)
• JOSE MARIA RODRIGUEZ-PONGA LINARES

  IRN JMR01297

  • [FCA CF] Client dealing (1 Jan 2020 to 15 May 2025)
  • CF30 Customer (28 Nov 2017 to 8 Dec 2019)
• Jason Yew Kit Lee

  IRN JYL01001

  • CF30 Customer (5 Dec 2011 to 18 Apr 2017)
• John Fiddes

  IRN JXF25002

  • [FCA CF] Client dealing (7 Nov 2022 to 13 Jan 2025)
• Jose Marco-Tobares

  IRN JXM02336

  • CF30 Customer (20 Jun 2014 to 18 Apr 2017)
• Koray Ozdemir

  IRN KXO01059

  • CF30 Customer (5 Dec 2011 to 30 Nov 2012)
• Lewis John Kadwill

  IRN LJK01019

  • SMF16 Compliance Oversight (9 Dec 2019 to 30 Sep 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Sep 2021)
  • CF10 Compliance Oversight (25 Jul 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (25 Jul 2014 to 8 Dec 2019)
  • CF28 Systems and controls (25 Jul 2014 to 8 Dec 2019)
• Marcelo Szerman

  IRN MXS02819

  • SMF3 Executive Director (9 Dec 2019 to 21 Oct 2021)
  • CF1 Director (5 Dec 2011 to 8 Dec 2019)

No changes recorded yet.