Julius Baer International Limited

• Principal Place of Business

  Julius Baer International Ltd

  20-23 Greville Street

  London

  Camden

  EC1N 8SS

  UNITED KINGDOM

  Phone

  +442034818100

  Web

  https://www.juliusbaer.com/uk/en/

• Complaints Contact

  Julius Baer International Limited

  20-23 Greville Street

  London

  Camden

  EC1N 8SS

  UNITED KINGDOM

  Phone

  +442034818100

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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, Structured Deposits, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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.

• Dudley Flynn

  IRN DXF01104

  • CF30 Customer (1 Jul 2013 to 30 Nov 2019)
• Duncan Edward Jamieson

  IRN DEJ01023

  • [FCA CF] Significant management (1 Apr 2020 to 6 Jan 2025)
  • [FCA CF] Material risk taker (1 Apr 2020 to 6 Jan 2025)
  • CF28 Systems and controls (3 Apr 2018 to 8 Dec 2019)
  • CF29 Significant management (29 Jan 2015 to 3 Apr 2018)
  • CF30 Customer (1 Jul 2013 to 29 Sep 2017)
• Duncan Prince

  IRN DBP01035

  • CF30 Customer (20 Dec 2017 to 31 Oct 2019)
• Edward Charles Allinson Raymond

  IRN ECR01005

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2020)
  • [FCA CF] Significant management (since 1 Apr 2020)
  • [FCA CF] Material risk taker (since 1 Apr 2020)
  • [FCA CF] Client dealing (since 1 Apr 2020)
  • [FCA CF] Manager of certification employee (since 1 Apr 2020)
  • CF29 Significant management (13 Mar 2015 to 8 Dec 2019)
  • CF30 Customer (20 Jun 2014 to 8 Dec 2019)
• Edward Richard Morgan Colman

  IRN ERC01023

  • CF30 Customer (24 Jun 2013 to 2 Sep 2013)
• Edward Roland Capel Cure

  IRN ERC01016

  • [FCA CF] Client dealing (1 Apr 2020 to 31 Mar 2022)
  • [FCA CF] Functions requiring qualifications (1 Apr 2020 to 31 Mar 2022)
  • CF30 Customer (1 Mar 2011 to 8 Dec 2019)
• Eleanor Jane Malcolm

  IRN EJM01035

  • SMF16 Compliance Oversight (since 4 Apr 2024)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (14 Sep 2020 to 10 Aug 2022)
  • CF1 Director (12 Feb 2015 to 8 Dec 2019)
  • CF28 Systems and controls (12 Feb 2015 to 18 Oct 2019)
• Elena Trabucchi

  IRN EXT00145

  • [FCA CF] Functions requiring qualifications (17 Oct 2022 to 15 Jan 2026)
  • [FCA CF] Client dealing (17 Oct 2022 to 15 Jan 2026)
• Elinor Lydia Bantock

  IRN ELB01074

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 13 Aug 2024)
  • [FCA CF] Client dealing (since 13 Aug 2024)
• Elizabeth Anne Kunzler

  IRN EAK01007

  • CF30 Customer (1 Jul 2013 to 13 Dec 2013)

No changes recorded yet.