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

  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, 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.

• Ozan Kazim

  IRN OXK00023

  • [FCA CF] Client dealing (29 Mar 2021 to 16 Jun 2022)
  • [FCA CF] Material risk taker (29 Mar 2021 to 16 Jun 2022)
• Paul Ewart Waters

  IRN PEW01043

  • CF30 Customer (1 Jul 2016 to 8 Dec 2019)
• Paul Lindsay Boughton

  IRN PLB01040

  • CF30 Customer (4 Nov 2011 to 1 Jan 2019)
• Paul Middleton

  IRN PXM00346

  • [FCA CF] Material risk taker (since 29 Mar 2021)
  • [FCA CF] Client dealing (since 29 Mar 2021)
• Paul Ramsay Middleton

  IRN PRM01156

  • CF30 Customer (5 Aug 2013 to 8 Dec 2019)
• Pauline Bush

  IRN PXB00325

  • [FCA CF] Client dealing (29 Mar 2021 to 28 Oct 2021)
  • [FCA CF] Material risk taker (29 Mar 2021 to 28 Oct 2021)
• Philip Mark Watson

  IRN PMW01062

  • Director of firm who is not a certification employee or a SMF manager (29 Mar 2021 to 1 Aug 2023)
  • CF2 Non Executive Director (6 Sep 2017 to 8 Dec 2019)
  • CF29 Significant management (5 Mar 2012 to 22 Aug 2017)
  • CF30 Customer (1 Nov 2007 to 22 Aug 2017)
  • CF1 Director (1 Dec 2001 to 13 Jan 2014)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Pierre Alexander Dittrich

  IRN PAD01079

  • CF21 Investment Adviser (1 Dec 2001 to 21 Sep 2002)
  • CF27 Investment Management (1 Dec 2001 to 21 Sep 2002)
• Puneet Singh

  IRN PXS02298

  • [FCA CF] Material risk taker (since 29 Mar 2021)
  • [FCA CF] Client dealing (since 29 Mar 2021)
  • CF30 Customer (6 Nov 2018 to 8 Dec 2019)
• Raphael Ducret

  IRN RXD00194

  • [FCA CF] Material risk taker (since 29 Mar 2021)
  • [FCA CF] Manager of certification employee (since 29 Mar 2021)

• 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.