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.

• Richard John Godfrey

  IRN RJG01090

  • SMF24 Chief Operations (since 17 Oct 2023)
• Richard John Woolnough

  IRN RJW01133

  • [FCA CF] Client dealing (since 13 Jul 2020)
  • [FCA CF] Material risk taker (since 13 Jul 2020)
  • [FCA CF] Manager of certification employee (since 13 Jul 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (5 Jan 2004 to 31 Oct 2007)
• Richard Mark Plackett

  IRN RMP01045

  • CF27 Investment Management (1 Dec 2001 to 17 May 2002)
• Richard Miles

  IRN RXM00095

  • [FCA CF] Significant management (22 Jul 2020 to 30 Jun 2022)
• Richard Monnington

  IRN RXM00909

  • [FCA CF] Significant management (18 Sep 2024 to 1 Jun 2025)
• Richard Neil Frost

  IRN RNF01007

  • CF30 Customer (1 Nov 2007 to 3 May 2013)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Richard Rory O'Connor

  IRN RRO01003

  • [FCA CF] Material risk taker (6 Jul 2020 to 31 Dec 2023)
  • [FCA CF] Client dealing (6 Jul 2020 to 31 Dec 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (4 Aug 2003 to 20 Jul 2004)
• Richard Sherry

  IRN RJS01183

  • [FCA CF] Client dealing (10 Jul 2020 to 10 Oct 2025)
  • [FCA CF] Material risk taker (10 Jul 2020 to 10 Oct 2025)
  • [FCA CF] Manager of certification employee (10 Jul 2020 to 10 Oct 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (5 Jan 2006 to 31 Oct 2007)
• Richard Stormont Hughes

  IRN RSH01042

  • CF30 Customer (1 Nov 2007 to 3 Apr 2018)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Richard Turnill

  IRN RRT01010

  • Director of firm who is not a certification employee or a SMF manager (since 31 Jan 2022)

• 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.