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.

• Joanne Wooster

  IRN JXW00397

  • [FCA CF] Client dealing (17 Jul 2020 to 21 Mar 2022)
  • [FCA CF] Manager of certification employee (17 Jul 2020 to 31 Mar 2022)
• Joel Krueger

  IRN JXK00064

  • CF26 Customer Trading (1 Dec 2001 to 1 Jul 2009)
  • CF27 Investment Management (1 Dec 2001 to 1 Jul 2009)
• Johan du Preez

  IRN JXD02350

  • CF30 Customer (17 Aug 2015 to 2 Oct 2019)
• John Andrew Lothian

  IRN JAL01236

  • CF30 Customer (14 Sep 2015 to 26 Jun 2019)
• John Christopher Atkin

  IRN JCA01057

  • [FCA CF] Client dealing (9 Jul 2020 to 1 Jun 2022)
  • CF30 Customer (19 Sep 2008 to 8 Dec 2019)
• John Clark Betteridge

  IRN JCB01101

  • CF30 Customer (1 Nov 2007 to 17 Feb 2014)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• John David Farquharson Shewan

  IRN JDS01072

  • CF30 Customer (17 Aug 2015 to 10 Jul 2019)
• John David Wright

  IRN JDW01103

  • CF10a CASS Oversight function (1 Oct 2011 to 7 Mar 2016)
  • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
  • CF20 Significant Mgt (Settlements) (12 Jan 2002 to 31 Oct 2007)
• John Duxbury

  IRN JXD10675

  • [FCA CF] Material risk taker (14 Jul 2020 to 22 Mar 2024)
  • [FCA CF] Client dealing (14 Jul 2020 to 31 Oct 2025)
  • CF30 Customer (24 Jan 2019 to 8 Dec 2019)
• John Foley

  IRN JXF01241

  • SMF7 Group Entity Senior Manager (9 Dec 2019 to 10 Oct 2022)
  • SMF3 Executive Director (9 Dec 2019 to 1 Sep 2021)
  • CF3 Chief Executive (18 Jan 2019 to 8 Dec 2019)
  • CF1 Director (22 Nov 2017 to 8 Dec 2019)
  • CF28 Systems and controls (8 Dec 2010 to 23 Jul 2014)
  • CF29 Significant management (1 Nov 2007 to 8 Dec 2010)
  • CF16 Significant Mgt (Desgntd Investment Business) (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.