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

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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.

• Mark Rhodes

  IRN MXR00282

  • [FCA CF] Significant management (31 Jul 2020 to 27 Sep 2021)
  • [FCA CF] Material risk taker (14 Jul 2020 to 14 Feb 2021)
  • [FCA CF] Manager of certification employee (14 Jul 2020 to 15 Feb 2021)
  • [FCA CF] Client dealing (14 Jul 2020 to 14 Feb 2021)
• Mark Smith

  IRN MXS00752

  • [FCA CF] Manager of certification employee (since 9 Jan 2026)
  • [FCA CF] Client dealing (since 27 Jul 2021)
• Mark Stuart Hutchinson

  IRN MSH01075

  • [FCA CF] Client dealing (17 Jul 2020 to 31 Aug 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (20 Nov 2003 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Mark Thomas FitzPatrick

  IRN MTF00007

  • CF1 Director (17 Jul 2017 to 21 Oct 2019)
  • CF11 Money Laundering Reporting (16 Dec 2011 to 25 May 2012)
  • CF28 Systems and controls (1 Jun 2010 to 15 Nov 2010)
  • CF14 Risk Assessment (5 Jul 2005 to 31 Aug 2005)
  • CF10 Compliance Oversight (5 Jul 2005 to 31 Aug 2005)
• Mark Wheatley-Smith

  IRN MXW02410

  • CF30 Customer (23 Aug 2017 to 8 Dec 2019)
• Martin Alexander Towns

  IRN MAT01181

  • [FCA CF] Material risk taker (since 2 Feb 2023)
  • [FCA CF] Manager of certification employee (since 9 Jul 2020)
  • [FCA CF] Client dealing (since 9 Jul 2020)
  • CF30 Customer (5 Feb 2015 to 8 Dec 2019)
• Martin John Brookes

  IRN MJB01257

  • CF30 Customer (1 Nov 2007 to 11 Dec 2012)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Martin Joseph Walshe

  IRN MJW01340

  • CF30 Customer (1 Nov 2007 to 26 Jan 2015)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Martin Kwiatkowski

  IRN MXK02773

  • [FCA CF] Manager of certification employee (since 5 Aug 2025)
  • [FCA CF] Significant management (since 5 Aug 2025)
• Martin Lennon

  IRN MXL01324

  • [FCA CF] Material risk taker (since 30 Jul 2020)
  • [FCA CF] Significant management (since 30 Jul 2020)
  • [FCA CF] Client dealing (since 30 Jul 2020)
  • [FCA CF] Manager of certification employee (since 30 Jul 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (26 Nov 2003 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.