PGIM FUND MANAGEMENT LIMITED

• Principal Place of Business

  Grand Buildings

  1-3 The Strand

  Trafalgar Square

  London

  WC2N 5HR

  UNITED KINGDOM

  Phone

  +4402077662400

  Web

  https://www.pgim.com

• Complaints Contact

  Grand Buildings

  1-3 The Strand

  Trafalgar Square

  London

  WC2N 5HR

  UNITED KINGDOM

  Phone

  +4402077662400

• 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

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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

• 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

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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, 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.

• 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

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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.

• Runs Investment Funds

• 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

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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.

• Private Investment Funds

• 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, 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 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.

• Kaushik Muljibhai Shah

  IRN KMS01032

  • CF1 Director (22 Jul 2014 to 29 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 28 Nov 2007)
  • CF27 Investment Management (2 Mar 2004 to 31 Oct 2007)
• Kenneth Edward Warman III

  IRN KEW01035

  • CF1 Director (29 Oct 2003 to 30 Jun 2004)
  • CF13 Finance (29 Oct 2003 to 30 Jun 2004)
• Leo Karwejna

  IRN LXK01193

  • CF10 Compliance Oversight (26 Aug 2010 to 12 Jan 2011)
  • CF11 Money Laundering Reporting (26 Aug 2010 to 12 Jan 2011)
• Leroy Paul Mattis

  IRN LXM00118

  • [FCA CF] Client dealing (since 1 Jul 2020)
  • [FCA CF] Material risk taker (1 Jul 2020 to 31 Dec 2021)
• Mallindi Jane Van Wyk

  IRN MJV01013

  • CF13 Finance (1 Dec 2001 to 23 Oct 2003)
  • CF1 Director (1 Dec 2001 to 23 Oct 2003)
• Marcus Peter Ralling

  IRN MPR01086

  • CF30 Customer (23 Jul 2014 to 12 May 2015)
• Marie Louise Fioramonti

  IRN MXF01324

  • CF3 Chief Executive (18 May 2010 to 29 Jul 2014)
  • CF8 Apportionment and Oversight (6 Mar 2009 to 31 Mar 2009)
  • CF1 Director (5 Dec 2007 to 8 Aug 2018)
• Mark Alexander Chamieh

  IRN MAC01129

  • [FCA CF] Client dealing (since 1 Jul 2020)
  • SMF9 Chair of the Governing Body (1 Dec 2020 to 30 Sep 2024)
  • SMF3 Executive Director (9 Dec 2019 to 30 Sep 2024)
  • CF1 Director (20 Aug 2019 to 8 Dec 2019)
  • CF29 Significant management (22 Jul 2014 to 8 Dec 2019)
  • CF30 Customer (22 Jul 2014 to 8 Dec 2019)
• Mark Andrew Brunault

  IRN MAB01214

  • CF1 Director (1 Dec 2001 to 31 Dec 2001)
  • CF3 Chief Executive (1 Dec 2001 to 31 Dec 2001)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Dec 2001)
• Mark Fresson

  IRN MXF02094

  • SMF3 Executive Director (9 Dec 2019 to 28 Feb 2026)
  • CF1 Director (17 May 2018 to 8 Dec 2019)
  • CF28 Systems and controls (26 Mar 2018 to 8 Dec 2019)

No changes recorded yet.