Nuveen Management AIFM 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.

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

Kay Hian Chan
IRN KHC01023
- CF30 Customer (5 Jan 2011 to 10 Jun 2013)
Ksenija Drozdova
IRN KXD01586
- CF30 Customer (30 Jun 2018 to 8 Dec 2019)
Lap Hang Yiu
IRN LHT01005
- CF30 Customer (1 Nov 2007 to 1 Jun 2009)
- CF27 Investment Management (28 Sep 2007 to 31 Oct 2007)
Laura-Anne Barstow
IRN LXB01639
- CF30 Customer (26 Jun 2013 to 1 Jun 2018)
Lee Wood
IRN LXW00496
- [FCA CF] Material risk taker (since 22 Sep 2025)
Lesley Elaine Cairney
IRN LEC01045
- CF29 Significant management (15 Jul 2011 to 6 Nov 2013)
Lesley Smith
IRN LXS00281
- [FCA CF] Significant management (25 Jun 2020 to 27 Feb 2023)
Lu Li
IRN LXL00125
- [FCA CF] Significant management (since 9 Mar 2021)
Lucy Monica Bernays
IRN LMB01076
- CF30 Customer (1 Nov 2007 to 30 Apr 2009)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
Luke Seymour Boase
IRN LSB01039
- CF30 Customer (20 Dec 2007 to 23 Jan 2009)

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.