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.

• Rebecca O'Dwyer

  IRN RXO01322

  • [FCA CF] Manager of certification employee (since 12 Aug 2025)
  • [FCA CF] Client dealing (since 14 Nov 2022)
  • [FCA CF] Client dealing (7 Aug 2020 to 14 Oct 2021)
  • CF30 Customer (11 Jul 2017 to 30 Jan 2018)
• Riccardo Cumerlato

  IRN RXC01386

  • [FCA CF] Manager of certification employee (since 12 Sep 2024)
  • [FCA CF] Client dealing (since 7 Aug 2020)
  • CF30 Customer (9 Aug 2017 to 8 Dec 2019)
• Richard Andrew Ryan

  IRN RAR01053

  • [FCA CF] Client dealing (since 8 Jul 2020)
  • [FCA CF] Manager of certification employee (since 8 Jul 2020)
  • [FCA CF] Material risk taker (since 8 Jul 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (19 May 2005 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Richard Andrew Swain

  IRN RAS01282

  • CF27 Investment Management (30 Jan 2007 to 4 Jul 2007)
• Richard Booth

  IRN RTB01074

  • [FCA CF] Manager of certification employee (6 Jan 2021 to 26 Aug 2022)
  • [FCA CF] Client dealing (9 Jul 2020 to 26 Aug 2022)
  • CF30 Customer (12 Aug 2016 to 8 Dec 2019)
• Richard David Buckle

  IRN RDB01166

  • [FCA CF] Client dealing (since 17 Sep 2021)
• Richard Gwilliam

  IRN RXG01652

  • [FCA CF] Client dealing (since 6 Aug 2020)
  • CF30 Customer (22 Oct 2012 to 8 Dec 2019)
• Richard Halle

  IRN RXH01244

  • [FCA CF] Client dealing (since 7 Aug 2020)
  • [FCA CF] Manager of certification employee (since 7 Aug 2020)
  • [FCA CF] Material risk taker (since 7 Aug 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Richard Harwood

  IRN RXH00752

  • [FCA CF] Client dealing (since 22 Apr 2024)
• Richard James Mackinnon Newbery

  IRN RJN01072

  • [FCA CF] Client dealing (since 22 Jul 2020)
  • CF30 Customer (3 Jan 2018 to 8 Dec 2019)

• 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.