M&G Wealth Investments LLP

• Principal Place of Business

  M&G

  10 Fenchurch Avenue

  London

  EC3M 5AG

  UNITED KINGDOM

  Phone

  +4402081624929

  Web

  https://www.mandg.com/wealth/mps

• Complaints Contact

  10 Fenchurch Avenue

  London

  EC3M 5AG

  UNITED KINGDOM

  Phone

  +4402081624929

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Structured Deposits, 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

  For Eligible Counterparty, Professional

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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, Retail (Investment), 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Structured Deposits, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Structured Deposits, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Structured Deposits, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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, Structured Deposits, 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.

• David Norman

  IRN DAN01028

  • [FCA CF] Significant management (9 Dec 2019 to 27 Jun 2022)
  • SMF1 Chief Executive (9 Dec 2019 to 27 Jun 2022)
  • SMF27 Partner (9 Dec 2019 to 27 Jun 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 27 May 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 27 Jun 2022)
  • CF3 Chief Executive (16 Apr 2012 to 8 Dec 2019)
  • CF29 Significant management (9 Oct 2009 to 8 Dec 2019)
  • CF4 Partner (9 Oct 2009 to 8 Dec 2019)
  • CF30 Customer (9 Oct 2009 to 8 Dec 2019)
• David Powers

  IRN DXP02304

  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2023 to 27 Jul 2024)
• David Somers

  IRN DXS01266

  • SMF27 Partner (9 Dec 2019 to 28 Feb 2022)
  • CF4 Partner (25 May 2016 to 8 Dec 2019)
• Deirdre Anne Davies

  IRN DXD80950

  • [FCA CF] Significant management (since 5 Jan 2026)
• Derek Brodie Mitchell

  IRN DBM01033

  • CF27 Investment Management (2 Nov 2006 to 15 Jun 2007)
• Ella Hugh

  IRN EXH00096

  • [FCA CF] Significant management (25 Sep 2023 to 1 Apr 2024)
• Gary Thomas Mairs

  IRN GTM01014

  • SMF9 Chair of the Governing Body (20 Feb 2020 to 27 Jun 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 27 Jun 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 27 Jun 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 27 Jun 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 27 May 2022)
  • SMF27 Partner (9 Dec 2019 to 27 Jun 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 May 2022)
  • CF10 Compliance Oversight (8 Feb 2012 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (8 Feb 2012 to 8 Dec 2019)
  • CF30 Customer (9 Oct 2009 to 8 Dec 2019)
  • CF29 Significant management (9 Oct 2009 to 8 Dec 2019)
  • CF4 Partner (9 Oct 2009 to 8 Dec 2019)
• Gemesh Pio Pushpaharan

  IRN GPP01019

  • [FCA CF] Significant management (21 Jan 2024 to 30 Sep 2024)
• Guy Norman Barton

  IRN GXB42354

  • [FCA CF] Material risk taker (since 6 Jan 2022)
• James Leonard Cottee

  IRN JLC01068

  • CF30 Customer (13 Oct 2010 to 13 Sep 2013)

No changes recorded yet.