PGIM Private Capital Limited

• Principal Place of Business

  Level 32

  8 Bishopsgate

  London

  EC2N 4BQ

  UNITED KINGDOM

  Phone

  +4402077662400

• Complaints Contact

  Level 32

  8 Bishopsgate

  London

  EC2N 4BQ

  UNITED KINGDOM

  Phone

  +4402077662400

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), 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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  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "debenture", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).

• 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, 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), 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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  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "debenture", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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.
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "debenture", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), 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

  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "debenture", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).

• Manages Your Portfolio

  For Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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 2 limitations 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.
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "debenture", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)", "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).

• ANDREW BALLANTYNE CRAIN

  IRN ABC01076

  • SMF16 Compliance Oversight (9 Dec 2019 to 24 May 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 May 2024)
  • CF10 Compliance Oversight (7 Dec 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (7 Dec 2017 to 8 Dec 2019)
• Adam James Shield

  IRN AXS01723

  • [FCA CF] Client dealing (since 10 Mar 2023)
• Albert George Trank Jr

  IRN AXT02284

  • [FCA CF] Client dealing (1 Jul 2020 to 31 Dec 2023)
  • CF30 Customer (16 Aug 2018 to 8 Dec 2019)
• Alex Chopp

  IRN AXC02579

  • CF30 Customer (16 Jul 2013 to 27 Apr 2015)
• Ali Riza Artunkal

  IRN ARA01027

  • CF1 Director (1 Dec 2001 to 28 Jun 2002)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 28 Jun 2002)
• Alistair Edward Charles Haimes

  IRN AEH01039

  • CF21 Investment Adviser (1 Dec 2001 to 1 Nov 2002)
• Allen Arthur Weaver

  IRN AAW01056

  • CF30 Customer (15 Sep 2018 to 8 Dec 2019)
• Andrea Mercedes Ploeg

  IRN AMP01231

  • CF30 Customer (16 Nov 2016 to 30 Jul 2018)
• Bruno Wanske

  IRN BXW01115

  • CF1 Director (1 Dec 2001 to 29 Nov 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 29 Nov 2002)
  • CF3 Chief Executive (1 Dec 2001 to 29 Nov 2002)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 29 Nov 2002)
• Christina Kim

  IRN CXK01482

  • CF30 Customer (8 Oct 2018 to 8 Dec 2019)

No changes recorded yet.