JPMorgan Asset Management (UK) Limited

• Principal Place of Business

  J P Morgan, 60 Victoria Embankment

  London

  City Of London

  EC4Y 0JP

  UNITED KINGDOM

  Phone

  +440800204020

  Web

  https://am.jpmorgan.com/gb/en/asset-management/gim/welcome

• Complaints Contact

  J P Morgan, 60 Victoria Embankment

  London

  City Of London

  EC4Y 0JP

  UNITED KINGDOM

  Phone

  +440800204020

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Retail (Investment), Alternative Debenture, 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, Retail (Investment), Alternative Debenture, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, 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.
  • · Unable on a regular basis to: (i) deal on own account in relation to MiFID financial instruments and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis.

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, 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.

• Haydn Spencer Moth

  IRN HSM01002

  • CF30 Customer (1 Nov 2007 to 7 Jan 2009)
  • CF26 Customer Trading (15 Jul 2004 to 31 Oct 2007)
• Hayley Connell

  IRN HXC35182

  • [FCA CF] Material risk taker (since 28 Nov 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Mar 2022)
• Helena Rassmuson

  IRN HXV01016

  • CF27 Investment Management (1 Dec 2001 to 31 Dec 2002)
• Helge Skibeli

  IRN HXS00210

  • [FCA CF] Manager of certification employee (25 Oct 2021 to 1 Apr 2025)
  • [FCA CF] Client dealing (25 Oct 2021 to 1 Apr 2025)
• Homa Gharagozlou

  IRN HXG00196

  • [FCA CF] Client dealing (since 7 Feb 2024)
• Howard Sheers

  IRN HXS00312

  • [FCA CF] Client dealing (since 19 Oct 2022)
• Howard Williams

  IRN HXW01035

  • CF30 Customer (1 Nov 2007 to 11 Oct 2017)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Hugo Alliott Alexander

  IRN HAA01011

  • [FCA CF] Client dealing (9 Dec 2019 to 13 Feb 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Iain Trevor Stealey

  IRN ITS00009

  • SMF18 Other Overall Responsibility (since 20 Mar 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 20 Mar 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 20 Mar 2020)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 20 Mar 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (22 Jun 2005 to 31 Oct 2007)
• Ian Butler

  IRN IRB01046

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (13 Nov 2008 to 8 Dec 2019)

No changes recorded yet.