LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED

• Principal Place of Business

  Legal & General Investment Management

  1 Coleman Street

  London

  City Of London

  EC2R 5AA

  UNITED KINGDOM

  Phone

  +4402031242000

  Web

  https://www.lgim.com

• Complaints Contact

  Legal & General Investment Management

  1 Coleman Street

  London

  City Of London

  EC2R 5AA

  UNITED KINGDOM

  Phone

  +442031243000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, Binary Bet, 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, Structured Deposits, Unit, Warrant

  Show 4 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.
  • · Limited to marketing group associate activities and in carrying on such activities to the specified investments "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, Binary Bet, 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, Structured Deposits, Unit, Warrant

  Show 6 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.
  • · 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 dealing-only activities.
  • · Limited to marketing group associate activities and in carrying on such activities to the specified investments "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bets.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Alternative Debenture, Binary Bet, 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, Unit, Warrant

  Show 1 limitation Hide limitations

  • · When dealing with retail clients, the firm may not carry out investment activity in relation to a Binary Bets, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Binary Bet, 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, Structured Deposits, Unit, Warrant

  Show 3 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.
  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bets.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Binary Bet, 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, Structured Deposits, Unit, Warrant

  Show 7 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · 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 transaction-only activities.
  • · 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 marketing group associate activities and in carrying on such activities to the specified investments "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bets.

• Manages Your Portfolio

  For Professional, Retail (Investment), Alternative Debenture, Binary Bet, 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, Structured Deposits, Unit, Warrant

  Show 3 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.
  • · When dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bets.

• Peter Julian Lomax

  IRN PJL01080

  • CF14 Risk Assessment (1 Dec 2001 to 17 Apr 2003)
  • CF13 Finance (1 Dec 2001 to 17 Apr 2003)
  • CF1 Director (1 Dec 2001 to 17 Apr 2003)
• Peter Nicholas Knight

  IRN PNK01013

  • CF30 Customer (22 Feb 2016 to 21 Jan 2019)
• Peter Webster

  IRN PPW01019

  • [FCA CF] Client dealing (since 16 Sep 2024)
• Philip Alfred Neilson

  IRN PAN01037

  • CF27 Investment Management (1 Dec 2001 to 7 Apr 2003)
• Philip Brian Parslow

  IRN PXP06123

  • [FCA CF] Client dealing (since 9 Jan 2026)
• Philip James Inness

  IRN PJI01018

  • [FCA CF] Client dealing (since 1 Apr 2020)
  • CF30 Customer (14 Aug 2015 to 8 Dec 2019)
• Philip John Tickle

  IRN PJT01089

  • CF21 Investment Adviser (1 Dec 2001 to 2 Jul 2004)
• Philip Max Meier

  IRN PMM01164

  • CF30 Customer (3 Dec 2014 to 17 May 2019)
• Philip Michael James Hunter

  IRN PMH01061

  • [FCA CF] Material risk taker (30 Jun 2021 to 27 Apr 2023)
  • [FCA CF] Manager of certification employee (7 Dec 2020 to 20 Nov 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 20 Nov 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (13 Nov 2006 to 31 Oct 2007)
• Philipp Westermann

  IRN PXW01244

  • [FCA CF] Client dealing (since 25 Feb 2026)

No changes recorded yet.