PineBridge Investments Europe Limited

• Principal Place of Business

  Pinebridge Investments Europe Ltd

  1 Bedford Avenue

  London

  Camden

  WC1B 3AU

  UNITED KINGDOM

  Phone

  +4402073986000

  Web

  https://www.pinebridge.com

• Complaints Contact

  Pinebridge Investments Europe Ltd

  1 Bedford Avenue

  London

  Camden

  WC1B 3AU

  UNITED KINGDOM

  Phone

  +4402073986000

• 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, Funeral plan contract, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities for the specified customer types.
  • · Limited to recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• 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 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, Funeral plan contract, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities for the specified customer types.
  • · Limited to dealing-only activities.
  • · Limited to recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• 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, Funeral plan contract, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Funeral plan contract, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities for the specified customer types.
  • · Limited to repurchase agreement activities and in carrying on these activities to the securities, "government and public security", "certificate representing certain security", and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · Limited to stocklending activities and in carrying on such activities to the securities listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with these specified investments).

• 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, Funeral plan contract, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities for the specified customer types.
  • · Limited to transaction-only activities.
  • · Limited to recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Manages Your Portfolio

  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, Funeral plan contract, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Andrew Paul Hutchinson

  IRN APH01142

  • CF30 Customer (1 Nov 2007 to 4 Jan 2010)
  • CF26 Customer Trading (23 Aug 2007 to 31 Oct 2007)
• Angus Alexander Robertson

  IRN AAR01041

  • CF30 Customer (1 Nov 2007 to 12 Nov 2007)
  • CF27 Investment Management (8 Feb 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (15 Jun 2005 to 3 Feb 2006)
  • CF26 Customer Trading (15 Jun 2005 to 3 Feb 2006)
• Ania Eleonora Manczyk

  IRN AEM01078

  • CF21 Investment Adviser (22 Oct 2004 to 5 Jan 2006)
  • CF26 Customer Trading (21 Apr 2004 to 5 Jan 2006)
• Anik Kumar Sen

  IRN AKS01041

  • CF30 Customer (19 Jun 2008 to 8 Dec 2019)
• Anna Lunden

  IRN AXL01215

  • CF30 Customer (1 Nov 2007 to 10 Oct 2012)
  • CF27 Investment Management (10 Dec 2003 to 31 Oct 2007)
• Anthony Adam King

  IRN ARK01020

  • CF3 Chief Executive (20 Dec 2012 to 17 Jul 2017)
  • CF1 Director (17 Oct 2012 to 17 Jul 2017)
  • CF30 Customer (1 Nov 2007 to 17 Jul 2017)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Anthony Reckley

  IRN AXR17581

  • SMF16 Compliance Oversight (9 Dec 2019 to 21 Jan 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Jan 2020)
  • CF11 Money Laundering Reporting (20 Aug 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (20 Aug 2019 to 8 Dec 2019)
• Antoine Parmentier

  IRN AXP01714

  • CF30 Customer (1 Nov 2007 to 16 Aug 2010)
  • CF26 Customer Trading (30 Nov 2006 to 31 Oct 2007)
• Arisa Yamanaka

  IRN AXY01101

  • CF30 Customer (28 Aug 2008 to 4 Jan 2010)
• Ashleigh Kewney

  IRN AMK01108

  • CF1 Director (19 Mar 2010 to 23 Mar 2012)

• AIG Global Real Estate Investment (Europe) Ltd (no longer appointed)

  FRN 221561 · Appointed 23 Dec 2002 · Until 4 Jan 2010

No changes recorded yet.