Neuberger Berman Europe Limited

• Principal Place of Business

  The Zig Zag Building

  70 Victoria Street

  London

  SW1E 6SQ

  UNITED KINGDOM

  Phone

  +4402032149000

  Web

  https://www.nb.com

• Complaints Contact

  The Zig Zag Building

  70 Victoria Street

  London

  SW1E 6SQ

  UNITED KINGDOM

  Phone

  +4402032149000

• 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)" 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, 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)" 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, 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Credit Brokering

• 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, Spread Bet, 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 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)" 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, 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Brett Roland Pybus

  IRN BRP01033

  • CF30 Customer (1 Nov 2007 to 31 Oct 2008)
  • CF27 Investment Management (26 Sep 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (12 Jun 2007 to 27 Sep 2007)
• Brian Giffney

  IRN BXG00071

  • [FCA CF] Client dealing (since 9 Dec 2019)
• Bruce Alan Crystal

  IRN BAC01078

  • CF30 Customer (1 Nov 2007 to 9 Aug 2011)
  • CF21 Investment Adviser (26 Jun 2007 to 31 Oct 2007)
• Catherine Anne Mulvihill

  IRN CAM01228

  • CF30 Customer (1 Nov 2007 to 31 Oct 2008)
  • CF21 Investment Adviser (30 Aug 2007 to 31 Oct 2007)
• Cecilia Amyot

  IRN CXA00208

  • [FCA CF] Client dealing (since 1 Mar 2022)
• Chae-Hwa Wong

  IRN CXW01650

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
• Christina Maria Leaver

  IRN CXL00350

  • [FCA CF] Manager of certification employee (since 13 Oct 2022)
  • [FCA CF] Client dealing (since 13 Oct 2022)
• Christopher Gallagher

  IRN CXG00168

  • [FCA CF] Client dealing (since 9 Dec 2019)
• Chrystelle Marie Anne Charles-Barral

  IRN CMC01159

  • SMF4 Chief Risk (since 19 Apr 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 19 Apr 2021)
• Clare Elizabeth Curtis

  IRN CXC01299

  • CF11 Money Laundering Reporting (13 Apr 2006 to 15 Apr 2008)
  • CF10 Compliance Oversight (13 Apr 2006 to 15 Apr 2008)

No changes recorded yet.