M&G Investment Management Limited

• Principal Place of Business

  10 Fenchurch Avenue

  -

  London

  EC3M 5AG

  UNITED KINGDOM

  Phone

  +4402076264588

  Web

  https://www.mandg.co.uk

• Complaints Contact

  10 Fenchurch Avenue

  -

  London

  EC3M 5AG

  UNITED KINGDOM

  Phone

  +442076264588

• 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, 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.

• 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, 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, 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.

• Arranges Asset Safekeeping

  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, 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, 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, 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.

• Runs Investment Funds

• Investment Setup

  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, 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.

• Manages Your Portfolio

  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, 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 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.

• Daniel John Riches

  IRN DJR01304

  • [FCA CF] Manager of certification employee (since 10 May 2021)
  • [FCA CF] Client dealing (since 15 Feb 2021)
  • [FCA CF] Material risk taker (2 Feb 2023 to 30 Mar 2026)
  • [FCA CF] Manager of certification employee (24 Jul 2020 to 9 Mar 2021)
  • CF30 Customer (5 Mar 2013 to 8 Dec 2019)
• Daniel Mark Sheard

  IRN DMS01108

  • CF27 Investment Management (19 Jul 2005 to 3 Jul 2006)
• Daniel Richard Madams

  IRN DRM01171

  • CF30 Customer (7 Apr 2008 to 23 Nov 2009)
• Daniel Robin Riches

  IRN DRR01028

  • [FCA CF] Manager of certification employee (since 8 Jul 2020)
  • [FCA CF] Client dealing (since 8 Jul 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Daniel Thomas Broderick

  IRN DTB01032

  • CF26 Customer Trading (1 Dec 2001 to 22 Feb 2002)
• Daniel White

  IRN DXW01714

  • [FCA CF] Manager of certification employee (since 30 May 2022)
  • [FCA CF] Client dealing (since 28 Jul 2020)
  • [FCA CF] Material risk taker (since 28 Jul 2020)
  • CF30 Customer (4 Jun 2009 to 8 Dec 2019)
• Daniela Renata Corradi

  IRN DXC00567

  • [FCA CF] Client dealing (since 15 Aug 2022)
• David Charles Thomson Stuart

  IRN DCS01117

  • CF28 Systems and controls (15 Nov 2017 to 21 Oct 2019)
  • CF11 Money Laundering Reporting (22 Nov 2013 to 31 Dec 2015)
  • CF10 Compliance Oversight (6 Aug 2012 to 31 Dec 2015)
• David Covey

  IRN DXC00847

  • [FCA CF] Manager of certification employee (since 11 Feb 2025)
  • [FCA CF] Material risk taker (since 31 Jan 2025)
• David Francis Fishwick

  IRN DFF01004

  • [FCA CF] Material risk taker (28 Jul 2020 to 29 Sep 2024)
  • [FCA CF] Significant management (28 Jul 2020 to 4 Aug 2021)
  • [FCA CF] Client dealing (28 Jul 2020 to 29 Sep 2024)
  • [FCA CF] Manager of certification employee (28 Jul 2020 to 1 Mar 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Jul 2005 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

• Fideres LLP (no longer appointed)

  FRN 500454 · Appointed 5 May 2009 · Until 1 Mar 2011

• Prudential Portfolio Managers (UK) Limited (no longer appointed)

  FRN 150696 · Appointed 22 Dec 1988 · Until 19 Jan 2001

No changes recorded yet.