Oak Pension Asset Management Limited

• Principal Place of Business

  1 Churchill Place

  London

  E14 5HP

  UNITED KINGDOM

  Phone

  +4402071161000

  Web

  https://www.barclays.com

• Complaints Contact

  1 Churchill Place

  London

  E14 5HP

  UNITED KINGDOM

  Phone

  +4402071161000

• Investment Advice (no pensions)

  For 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, Life Policy, 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

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  • · Limited to Occupational Pension Scheme activities and in carrying on such activities to the specified investments listed.
  • · 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

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For 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, Life Policy, 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

  • · Limited to Occupational Pension Scheme activities and in carrying on such activities to the specified investments listed.
  • · 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 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, Life Policy, 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

  • · Limited to Occupational Pension Scheme activities and in carrying on such activities to the specified investments listed.
  • · 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 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, Life Policy, 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

  • · Limited to Occupational Pension Scheme activities and in carrying on such activities to the specified investments listed.
  • · 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 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, Life Policy, 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

  • · Limited to Occupational Pension Scheme activities and in carrying on such activities to the specified investments listed.
  • · 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 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, Life Policy, 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

  • · Limited to Occupational Pension Scheme activities and in carrying on such activities to the specified investments listed.
  • · 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.

• Paul Emney

  IRN PXE01197

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 Dec 2025)
  • CF2 Non Executive Director (16 Nov 2017 to 8 Dec 2019)
• Paul Whittaker

  IRN PXW08511

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Jul 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 22 Jul 2022)
  • CF10 Compliance Oversight (3 Dec 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Dec 2018 to 8 Dec 2019)
• Raphael Alexander Simon Harris

  IRN RAH01085

  • CF1 Director (10 Dec 2010 to 20 Jun 2014)
• Richard John Ahern

  IRN RJA01147

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Aug 2022)
• Shuwen Chen

  IRN SXC01547

  • [FCA CF] Client dealing (since 31 Mar 2025)
• Stergios Saloustros

  IRN SVS01018

  • [FCA CF] Manager of certification employee (since 6 Mar 2025)
  • SMF1 Chief Executive (since 21 Jun 2024)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (13 Jun 2017 to 8 Dec 2019)
  • CF30 Customer (10 Dec 2010 to 8 Dec 2019)
• Steven Poulter

  IRN SMP01089

  • [FCA CF] Manager of certification employee (since 4 Mar 2025)
• Sue Wan

  IRN SMW01204

  • [FCA CF] Client dealing (since 31 Jul 2020)
  • [FCA CF] Significant management (31 Jul 2020 to 11 Dec 2020)
  • [FCA CF] Manager of certification employee (31 Jul 2020 to 26 Aug 2025)
  • CF30 Customer (10 Dec 2010 to 8 Dec 2019)
• Susannah Parden

  IRN SXP00347

  • Director of firm who is not a certification employee or a SMF manager (18 Dec 2025 to 20 Feb 2026)
• Timothy Butter

  IRN TXB01470

  • CF10 Compliance Oversight (5 Apr 2011 to 16 Oct 2012)
  • CF11 Money Laundering Reporting (5 Apr 2011 to 16 Oct 2012)

No changes recorded yet.