NS ASSET MANAGEMENT UK LTD

• Principal Place of Business

  N S Asset Management UK Ltd

  25 Upper Brook Street

  London

  Westminster

  W1K 7QD

  UNITED KINGDOM

  Phone

  +4402075295350

  Web

  https://www.nspgroup.com

• Complaints Contact

  N S Asset Management UK Ltd

  25 Upper Brook Street

  London

  Westminster

  W1K 7QD

  UNITED KINGDOM

  Phone

  +4402075295350

• 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, 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), 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.

• 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, Retail (Investment), 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, 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), 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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), 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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), 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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), Share, 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.

• Bernard Henri Witold Tracewski

  IRN BHT01018

  • SMF3 Executive Director (9 Dec 2019 to 12 Dec 2019)
  • CF1 Director (14 Oct 2013 to 8 Dec 2019)
• Cedric Guy Dingens

  IRN CXD24692

  • SMF3 Executive Director (since 22 Feb 2020)
• Christoph Michel La Roche

  IRN CML01058

  • CF2 Non Executive Director (26 Jul 2004 to 8 Dec 2019)
• Christophe Verbaere

  IRN CXV00049

  • SMF3 Executive Director (since 7 Mar 2022)
• Christopher Scott Molyneux

  IRN CSM01032

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2021)
  • SMF3 Executive Director (9 Dec 2019 to 31 May 2021)
  • CF1 Director (17 May 2010 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Craig Christian Armstrong

  IRN CCA01012

  • CF1 Director (1 Dec 2001 to 1 Aug 2003)
  • CF27 Investment Management (1 Dec 2001 to 1 Aug 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 1 Aug 2003)
• David Oliver Kimberley

  IRN DOK01005

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 17. Administrative functions in relation to 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
  • 14. Managing investments
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF30 Customer (8 Apr 2008 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (8 Apr 2008 to 8 Dec 2019)
  • CF1 Director (8 Apr 2008 to 14 Jun 2019)
  • CF10 Compliance Oversight (8 Apr 2008 to 8 Dec 2019)
• David Robert Craig Stanford

  IRN DRS01103

  • CF26 Customer Trading (1 Dec 2001 to 11 Apr 2003)
• Edmund James Locker Macpherson

  IRN EJM01050

  • 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
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF3 Chief Executive (12 Jun 2009 to 8 Dec 2019)
  • CF28 Systems and controls (12 Jun 2009 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 19 Mar 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Eric Henri Jean Laget

  IRN EXL24530

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)

No changes recorded yet.