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.

• Kathryn Mast Uhde

  IRN KMU01003

  • CF30 Customer (20 Jul 2016 to 26 Jul 2016)
• Kathryn Sarah Field

  IRN KSF01006

  • CF30 Customer (30 Jun 2009 to 11 Feb 2011)
• Katie Ranson

  IRN KXM02163

  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 11 Dec 2024)
  • [FCA CF] Functions requiring qualifications (since 11 Dec 2024)
  • [FCA CF] Functions requiring qualifications (2 Sep 2022 to 3 Nov 2023)
  • [FCA CF] Client dealing (1 Apr 2020 to 31 Oct 2021)
  • CF30 Customer (3 Sep 2015 to 8 Dec 2019)
• Kenneth Byron Coombs

  IRN KBC01014

  • Director of firm who is not a certification employee or a SMF manager (1 Apr 2020 to 29 Feb 2024)
  • CF2 Non Executive Director (5 Mar 2018 to 8 Dec 2019)
• Kevin Anthony O'Shea

  IRN KAO01030

  • [FCA CF] Functions requiring qualifications (1 Apr 2020 to 8 Sep 2023)
  • [FCA CF] Client dealing (1 Apr 2020 to 8 Sep 2023)
  • CF30 Customer (18 Jun 2015 to 8 Dec 2019)
• Kevin Ashley Miskin

  IRN KAM01074

  • CF30 Customer (1 Nov 2007 to 15 Feb 2008)
  • CF21 Investment Adviser (20 Jun 2003 to 31 Oct 2007)
  • CF27 Investment Management (20 Jun 2003 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 20 Jun 2003)
• Kevin Paul Gertrudis Maria Wijnant

  IRN KPW01042

  • 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] Client dealing (since 12 Jan 2022)
  • [FCA CF] Functions requiring qualifications (since 12 Jan 2022)
• Konstantinos Dedes

  IRN KXD01185

  • CF30 Customer (1 Nov 2007 to 30 Jan 2008)
  • CF21 Investment Adviser (20 Mar 2007 to 31 Oct 2007)
• Lance Martin Peltz

  IRN LMP01022

  • CF30 Customer (1 Jul 2013 to 10 Apr 2015)
• Laura Covill

  IRN LXC01628

  • CF11 Money Laundering Reporting (28 Jan 2014 to 26 May 2015)

No changes recorded yet.