Janus Henderson Investors International Limited

• Principal Place of Business

  201 Bishopsgate

  London

  EC2M 3AE

  UNITED KINGDOM

  Phone

  +442078181818

  Web

  https://www.janushenderson.com

• Complaints Contact

  201 Bishopsgate

  London

  EC2M 3AE

  UNITED KINGDOM

  Phone

  +442078181818

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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 dealing-only activities.
  • · Limited to recognised 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, Unit, Warrant

• 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, Unit, Warrant

  Show 3 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.

• 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 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 recognised 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 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 3 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.

• Enrique De Jesus Chang

  IRN EDC01022

  • [FCA CF] Material risk taker (17 Apr 2020 to 1 Apr 2022)
  • [FCA CF] Manager of certification employee (17 Apr 2020 to 1 Apr 2022)
  • CF1 Director (26 Feb 2015 to 1 Aug 2019)
• Erich Paul Gerth

  IRN EPG01006

  • CF8 Apportionment and Oversight (17 Apr 2007 to 31 Oct 2007)
  • CF1 Director (9 Mar 2004 to 5 Jun 2009)
  • CF3 Chief Executive (9 Mar 2004 to 5 Jun 2009)
• Francesca Lin

  IRN FCL01017

  • CF30 Customer (5 Jan 2015 to 8 Nov 2016)
• François L'Hénoret

  IRN FXL01206

  • CF30 Customer (29 Dec 2015 to 8 Dec 2019)
• Gary Robert Baum

  IRN GXB00375

  • [FCA CF] Client dealing (17 Apr 2023 to 31 Oct 2023)
• Gemma Marie Stevens

  IRN GMS01058

  • CF26 Customer Trading (1 Dec 2001 to 6 Jul 2005)
• Georgina Fogo

  IRN GLF01032

  • [FCA CF] Manager of certification employee (since 17 Apr 2020)
  • [FCA CF] Material risk taker (since 17 Apr 2020)
  • SMF16 Compliance Oversight (1 Sep 2020 to 25 Sep 2020)
  • CF28 Systems and controls (5 Dec 2018 to 8 Dec 2019)
• Gian Luca Giurlani

  IRN GLG01008

  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 14 May 2004)
• Giorgia Rizzatti Vertovez

  IRN GXR01545

  • CF30 Customer (1 Sep 2014 to 30 Dec 2015)
• Glen William Finegan

  IRN GXF01148

  • CF30 Customer (30 May 2017 to 18 Apr 2019)

No changes recorded yet.