Mitsubishi UFJ Baillie Gifford Asset Management Limited

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

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, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
- · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
- · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.

Senior staff personally approved by the FCA to hold their roles here.

Lee Demarco
IRN LXD01063
- CF26 Customer Trading (8 May 2002 to 21 Apr 2004)
Linda Margaret Selman
IRN LMS01046
- CF21 Investment Adviser (4 Feb 2002 to 29 Jun 2007)
Lindsay Gold
IRN LXG00028
- SMF16 Compliance Oversight (26 Feb 2020 to 31 Dec 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (26 Feb 2020 to 31 Dec 2020)
- CF10 Compliance Oversight (14 Aug 2012 to 28 Apr 2017)
Lorna Elizabeth Margaret Kennedy
IRN LEK01008
- [FCA CF] Material risk taker (since 10 Jun 2022)
Louise Laidlaw
IRN LXL01176
- CF29 Significant management (1 Nov 2007 to 27 May 2011)
- CF20 Significant Mgt (Settlements) (11 Jul 2006 to 31 Oct 2007)
Lyndsay Jayne Cooper
IRN LXC01838
- CF28 Systems and controls (21 Jul 2017 to 8 Dec 2019)
Malcolm Graham MacColl
IRN CGM01053
- [FCA CF] Material risk taker (since 1 Apr 2022)
Mark Urquhart
IRN MAU01006
- [FCA CF] Material risk taker (1 Apr 2022 to 20 Sep 2022)
Martin John O'Brien
IRN MJO01080
- CF26 Customer Trading (8 May 2002 to 21 Apr 2004)
Masaaki Kobayashi
IRN MXK01155
- CF27 Investment Management (1 Dec 2001 to 30 Apr 2003)

Updates to this firm's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.