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.

• Robert Michele

  IRN RCM01051

  • [FCA CF] Client dealing (9 Dec 2019 to 25 Feb 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 25 Feb 2021)
  • CF29 Significant management (1 Jun 2011 to 30 May 2012)
  • CF1 Director (31 Mar 2009 to 23 Feb 2011)
  • CF30 Customer (9 Oct 2008 to 8 Dec 2019)
• Robert Scott Haas

  IRN RSH01136

  • CF30 Customer (23 Feb 2018 to 8 Dec 2019)
• Robert Stewart

  IRN RPS01046

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Oct 2022)
  • CF30 Customer (8 May 2018 to 8 Dec 2019)
  • CF29 Significant management (1 Nov 2007 to 26 Feb 2010)
  • CF16 Significant Mgt (Desgntd Investment Business) (17 Apr 2007 to 31 Oct 2007)
  • CF27 Investment Management (17 Apr 2007 to 31 Oct 2007)
• Robert Vernon Charles Hubbard

  IRN RVH01008

  • CF27 Investment Management (1 Dec 2001 to 12 Sep 2002)
• Robert William Kendrick

  IRN RWK01033

  • CF30 Customer (1 Nov 2007 to 20 Jul 2010)
  • CF27 Investment Management (24 Apr 2006 to 31 Oct 2007)
• Robert Xaviour O'Rahilly

  IRN RXO01041

  • [FCA CF] Client dealing (9 Dec 2019 to 2 Apr 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 2 Apr 2020)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 2 Apr 2020)
  • CF30 Customer (14 Dec 2017 to 8 Dec 2019)
• Robert john Maltby

  IRN RJM01535

  • CF30 Customer (13 Dec 2017 to 8 Dec 2019)
• Robin Asquith

  IRN RXA01118

  • CF30 Customer (11 Jun 2008 to 28 Feb 2018)
• Robin David Green

  IRN RDG01040

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (8 Dec 2005 to 31 Oct 2007)
  • CF26 Customer Trading (23 Jul 2003 to 8 Dec 2005)
• Robin Dunmall

  IRN RXD01587

  • CF30 Customer (27 Jul 2011 to 2 Jun 2018)

No changes recorded yet.