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.

• Roderic Aidan Birkett

  IRN RAB01159

  • CF1 Director (1 Dec 2001 to 15 Mar 2002)
  • CF27 Investment Management (1 Dec 2001 to 15 Mar 2002)
• Roger Mark Hallam

  IRN RMH01131

  • [FCA CF] Manager of certification employee (21 Sep 2020 to 26 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 26 Jul 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 26 Jul 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (14 Jun 2005 to 31 Oct 2007)
• Roger Sewell Bacon

  IRN RSB01045

  • CF27 Investment Management (1 Dec 2001 to 1 Dec 2002)
• Roger Thompson

  IRN RMT01039

  • CF29 Significant management (1 Nov 2007 to 6 Sep 2010)
  • CF28 Systems and controls (1 Nov 2007 to 12 Jan 2010)
  • CF13 Finance (16 May 2005 to 31 Oct 2007)
  • CF19 Significant Mgt (Financial Resources) (16 May 2005 to 31 Oct 2007)
  • CF1 Director (25 Apr 2005 to 12 Apr 2013)
• Roger Tyzack Simpson

  IRN RXS01380

  • CF28 Systems and controls (1 Nov 2007 to 19 Mar 2008)
  • CF15 Internal Audit (1 Dec 2001 to 31 Oct 2007)
• Rohan Duggal

  IRN RXD01646

  • [FCA CF] Manager of certification employee (since 23 Jul 2024)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (18 Aug 2020 to 22 Dec 2023)
  • CF30 Customer (4 Apr 2018 to 8 Dec 2019)
• Romain Mercier

  IRN RXM02088

  • [FCA CF] Client dealing (since 2 Apr 2025)
• Romain Py

  IRN RXP01223

  • CF30 Customer (10 Dec 2007 to 7 Jul 2013)
• Rose Dawson

  IRN RGT01100

  • [FCA CF] Client dealing (since 11 Sep 2025)
  • [FCA CF] Client dealing (15 Dec 2023 to 1 Mar 2025)
  • CF30 Customer (14 Aug 2017 to 8 Dec 2019)
• Ross Andrew Hollyman

  IRN RAH01103

  • CF27 Investment Management (1 Dec 2001 to 25 Apr 2003)

No changes recorded yet.