Mondrian Investment Partners Limited

• Principal Place of Business

  Sixty London Wall

  Floor 10

  London

  EC2M 5TQ

  UNITED KINGDOM

  Phone

  +4402074777000

  Web

  https://www.mondrian.com

• Complaints Contact

  Sixty London Wall

  Floor 10

  London

  EC2M 5TQ

  UNITED KINGDOM

  Phone

  +4402074777000

• 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, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, 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, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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 unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• 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, 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, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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.

• 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, 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, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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 unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• 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, 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · 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.

• Jane Sylvia Orr

  IRN JSO01008

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 25 Jun 2021)
  • CF2 Non Executive Director (26 Jun 2012 to 8 Dec 2019)
• Jason Andrews

  IRN JXA00196

  • [FCA CF] Significant management (9 Dec 2019 to 30 Jun 2023)
• Jason Menegakis

  IRN JXM00575

  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
• Joanna Bates

  IRN JXB01375

  • CF30 Customer (1 Nov 2007 to 14 Mar 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• John Charles Edward Campbell

  IRN JCC01114

  • CF2 Non Executive Director (1 Dec 2001 to 24 Sep 2004)
• John Emberson

  IRN JXE01137

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (8 Feb 2017 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Feb 2017)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 31 May 2002)
  • CF13 Finance (1 Dec 2001 to 28 Feb 2005)
• John Kirk

  IRN JXK01107

  • CF2 Non Executive Director (27 Oct 2015 to 30 Sep 2016)
  • CF30 Customer (1 Nov 2007 to 30 Sep 2015)
  • CF1 Director (1 Dec 2001 to 30 Sep 2015)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• John Lloyd Barrett

  IRN JLB01085

  • CF11 Money Laundering Reporting (1 May 2002 to 31 Mar 2018)
  • CF10 Compliance Oversight (4 Feb 2002 to 31 Mar 2018)
• Jonathan Richard Spread

  IRN JRS01109

  • [FCA CF] Material risk taker (since 4 Feb 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (30 May 2006 to 31 Oct 2007)
• Jude Thaddeus Driscoll

  IRN JTD01035

  • CF2 Non Executive Director (12 Aug 2003 to 24 Sep 2004)

No changes recorded yet.