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.

• Richard Morillot

  IRN RXM02253

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (18 Feb 2020 to 19 Oct 2020)
  • CF30 Customer (10 Feb 2014 to 8 Dec 2019)
• Richard Oswald

  IRN RWO01010

  • CF1 Director (1 Dec 2001 to 25 Jul 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 19 Oct 2005)
  • CF27 Investment Management (1 Dec 2001 to 31 Dec 2003)
• Richard Peter Webb

  IRN RPW01039

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 11 Sep 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Oct 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (21 Oct 2002 to 31 Dec 2003)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Richard Sherry

  IRN RJS01183

  • CF27 Investment Management (1 Dec 2001 to 17 Jun 2005)
• Richard Stuart-Reckling

  IRN RXS01622

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Nov 2025)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (25 Jul 2019 to 8 Dec 2019)
• Richard Titherington

  IRN RET01040

  • SMF18 Other Overall Responsibility (21 Feb 2020 to 6 Apr 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Feb 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 21 Feb 2020)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 21 Feb 2020)
  • CF30 Customer (1 Nov 2007 to 11 Aug 2015)
  • CF27 Investment Management (26 Sep 2003 to 31 Oct 2007)
• Richard William Bullock

  IRN RWB01119

  • CF30 Customer (1 Nov 2007 to 5 Mar 2009)
  • CF27 Investment Management (5 Feb 2007 to 31 Oct 2007)
• Ritsuko Sakami

  IRN RXS01288

  • CF30 Customer (1 Nov 2007 to 28 Apr 2010)
  • CF27 Investment Management (17 Feb 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (5 Sep 2002 to 11 Jun 2003)
• Robert Barnes

  IRN RXB01946

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Jul 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 4 Jul 2022)
  • CF30 Customer (20 Mar 2014 to 8 Dec 2019)
• Robert Charles Lay

  IRN RCL01031

  • CF27 Investment Management (1 Dec 2001 to 12 May 2004)

No changes recorded yet.