JUPITER INVESTMENT MANAGEMENT LIMITED

• Principal Place of Business

  Jupiter Asset Management Ltd

  70 Victoria Street

  London

  Westminster

  SW1E 6SQ

  UNITED KINGDOM

  Phone

  +442038171000

  Web

  http://www.jupiteram.com

• Complaints Contact

  Jupiter Asset Management Ltd

  70 Victoria Street

  London

  Westminster

  SW1E 6SQ

  UNITED KINGDOM

  Phone

  +442038171000

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, Funeral plan contract, 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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  • · Limited to recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• 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), 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, Funeral plan contract, 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

  Show 6 limitations Hide limitations

  • · Limited to recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• 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, Funeral plan contract, 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.

• 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, Funeral plan contract, 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

  Show 4 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to repurchase agreement activities and in carrying on these activities to the securities, "government and public security", "certificate representing certain security", and "right to or interest in investments - security", (when the latter is associated with these specified investments).

• Investment Setup

  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, Funeral plan contract, 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

  Show 5 limitations Hide limitations

  • · Limited to recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Manages Your Portfolio

  For Eligible Counterparty, Professional, 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, Funeral plan contract, 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

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Rhys Petheram

  IRN RXP01530

  • [FCA CF] Manager of certification employee (7 Jul 2022 to 20 Apr 2023)
  • [FCA CF] Material risk taker (1 Jan 2021 to 8 Jul 2022)
  • [FCA CF] Client dealing (1 Jan 2021 to 20 Apr 2023)
• Richard Alan Pym

  IRN RAP01086

  • CF2 Non Executive Director (16 Nov 2009 to 16 Nov 2009)
• Richard Andrew Lightbown

  IRN RAL01062

  • CF17 Significant Mgt (Other Business Operations) (15 Feb 2006 to 2 Jan 2007)
  • CF1 Director (1 Dec 2001 to 1 Feb 2006)
• Richard Buxton

  IRN RXB01394

  • [FCA CF] Material risk taker (11 Feb 2021 to 31 Aug 2023)
  • [FCA CF] Manager of certification employee (11 Feb 2021 to 31 Aug 2023)
  • [FCA CF] Client dealing (11 Feb 2021 to 31 Aug 2023)
  • SMF3 Executive Director (9 Dec 2019 to 19 Oct 2020)
  • CF3 Chief Executive (3 May 2017 to 1 Mar 2019)
  • CF1 Director (5 Oct 2015 to 8 Dec 2019)
  • CF30 Customer (17 Jun 2013 to 8 Dec 2019)
• Richard Cassidy

  IRN RXC00481

  • SMF24 Chief Operations (since 24 Jan 2024)
  • [FCA CF] Significant management (3 Mar 2022 to 24 Jan 2024)
• Richard Charles Stevens

  IRN RCS01078

  • CF30 Customer (1 Nov 2007 to 19 Nov 2009)
  • CF27 Investment Management (25 Sep 2007 to 31 Oct 2007)
• Richard Irving Morris

  IRN RIM01020

  • CF2 Non Executive Director (16 Aug 2018 to 8 Dec 2019)
• Richard James Tomlinson

  IRN RJT01122

  • CF30 Customer (1 Nov 2007 to 29 Feb 2008)
  • CF16 Significant Mgt (Desgntd Investment Business) (20 Oct 2004 to 10 May 2006)
  • CF27 Investment Management (26 Jul 2004 to 1 Oct 2004)
• Richard James Watts

  IRN RJW01304

  • [FCA CF] Material risk taker (11 Feb 2021 to 31 Mar 2024)
  • [FCA CF] Client dealing (11 Feb 2021 to 31 Mar 2024)
  • [FCA CF] Manager of certification employee (11 Feb 2021 to 31 Mar 2024)
  • SMF3 Executive Director (9 Dec 2019 to 16 Oct 2020)
  • CF1 Director (26 Jul 2018 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (28 Jun 2006 to 31 Oct 2007)
• Richard John Bromley

  IRN RJB01429

  • [FCA CF] Client dealing (since 6 Feb 2024)

No changes recorded yet.