Mirabaud & Cie (Europe) S.A. (UK branch)

• Principal Place of Business

  Mirabaud

  10 Bressenden Place

  London

  Westminster

  SW1E 5DH

  UNITED KINGDOM

  Phone

  +4402031677400

  Web

  https://www.mirabaud.com/en/wealth-management

• Complaints Contact

  Mirabaud

  10 Bressenden Place

  London

  Westminster

  SW1E 5DH

  UNITED KINGDOM

  Phone

  +4402031677400

• Investment Advice (no pensions)

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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 Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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 Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Credit Brokering

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Investment Setup

  For Professional, Retail (Investment), Certificates representing certain security, Commodity option and option on commodity future, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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 Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Martin O'Hare

  IRN MXO01065

  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • [FCA CF] Client dealing (since 10 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 10 Jul 2023)
  • [FCA CF] Manager of certification employee (since 10 Jul 2023)
• Nicole Ronge

  IRN NXR73780

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 10 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 10 Jul 2023)
  • [FCA CF] Manager of certification employee (since 10 Jul 2023)
• Oliver Selwyn

  IRN OJS01013

  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 10 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 10 Jul 2023)
  • [FCA CF] Manager of certification employee (since 10 Jul 2023)
• Paul Whelan

  IRN PXW00077

  • [FCA CF] Client dealing (10 Jul 2023 to 17 Jan 2026)
  • [FCA CF] Manager of certification employee (10 Jul 2023 to 17 Jan 2026)
  • [FCA CF] Functions requiring qualifications (10 Jul 2023 to 17 Jan 2026)
• Robert Dunbar

  IRN RXD01876

  • SMF16 Compliance Oversight (since 10 Jul 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Jul 2023)
• Stuart William Friend Bates

  IRN SXB01429

  • SMF19 Head of Overseas Branch/Head of Overseas (since 10 Jul 2023)
• William Ladenburg

  IRN WGL01014

  • 14. Managing investments
  • 13. Giving personal recommendations on and dealing with derivatives
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Manager of certification employee (since 10 Jul 2023)
  • [FCA CF] Client dealing (since 10 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 10 Jul 2023)

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