Mirabaud Asset Management Limited

• Principal Place of Business

  Mirabaud

  10 Bressenden Place

  London

  Westminster

  SW1E 5DH

  UNITED KINGDOM

  Phone

  +4402031677000

  Web

  https://www.mirabaud-am.com

• Complaints Contact

  Mirabaud

  10 Bressenden Place

  London

  Westminster

  SW1E 5DH

  UNITED KINGDOM

  Phone

  +4402031677000

• 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, 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, 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

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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, 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, 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.

• Arranges Asset Safekeeping

  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, 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, 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, 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, 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, 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.

• Manages Your Portfolio

  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, 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, 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.

• Ihab Yassine

  IRN IXY01025

  • CF30 Customer (16 Apr 2013 to 19 Jul 2016)
• James William Southern

  IRN JWS01123

  • CF30 Customer (18 Sep 2015 to 31 Mar 2018)
• Jeremy Goulding Lodwick

  IRN JGL01027

  • CF29 Significant management (3 Apr 2013 to 30 Apr 2015)
  • CF30 Customer (1 Nov 2007 to 30 Apr 2015)
  • CF1 Director (11 May 2007 to 31 Dec 2012)
  • CF27 Investment Management (17 Jan 2007 to 31 Oct 2007)
• Jeremy Hewlett

  IRN JJH01054

  • [FCA CF] Client dealing (29 Mar 2021 to 25 Sep 2023)
  • [FCA CF] Material risk taker (29 Mar 2021 to 25 Sep 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (13 Jul 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (13 Jul 2004 to 31 Oct 2007)
• John Graham Cutler

  IRN JGC01061

  • CF10a CASS Oversight function (1 Oct 2011 to 12 Aug 2013)
  • CF1 Director (2 Mar 2011 to 13 Jan 2014)
  • CF10 Compliance Oversight (1 Dec 2001 to 30 Apr 2012)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 6 Jul 2015)
• John Kisenyi

  IRN JXK01816

  • [FCA CF] Client dealing (29 Mar 2021 to 31 Jan 2025)
  • [FCA CF] Material risk taker (29 Mar 2021 to 31 Jan 2025)
• John Owens

  IRN JXO01075

  • CF30 Customer (1 Nov 2007 to 14 Oct 2011)
  • CF1 Director (8 Nov 2002 to 14 Oct 2011)
  • CF21 Investment Adviser (12 Feb 2002 to 31 Oct 2007)
• Jonathan Eadie

  IRN JJE01020

  • [FCA CF] Material risk taker (29 Mar 2021 to 31 May 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 30 May 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 May 2025)
  • CF10a CASS Oversight function (29 Apr 2015 to 25 Sep 2019)
  • CF11 Money Laundering Reporting (29 Apr 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (13 Oct 2014 to 8 Dec 2019)
• Joshi Gunputh

  IRN JXG02000

  • CF30 Customer (19 Sep 2013 to 13 Mar 2014)
• Juan Jose Carrion, Jr

  IRN JJC01063

  • [FCA CF] Material risk taker (17 May 2022 to 20 Dec 2024)
  • [FCA CF] Client dealing (17 May 2022 to 20 Dec 2024)

• Kevin O'Kelly (no longer appointed)

  FRN 617013 · Appointed 11 Mar 2014 · Until 31 Dec 2016

• Trenlewis Limited (no longer appointed)

  FRN 610336 · Appointed 15 Nov 2013 · Until 15 Jun 2014

• Anwar Siddiqi (no longer appointed)

  FRN 486466 · Appointed 24 Jul 2008 · Until 31 Dec 2016

• Balwant Nantunhai Patel (no longer appointed)

  FRN 486465 · Appointed 24 Jul 2008 · Until 31 Dec 2016

• Andrew Clark (no longer appointed)

  FRN 223022 · Appointed 21 Feb 2003 · Until 21 May 2004

No changes recorded yet.