Principal Global Investors (Europe) Limited

• Principal Place of Business

  5th Floor, 1 Aldermanbury Square

  London

  City Of London

  EC2V 7HR

  UNITED KINGDOM

  Phone

  +442077100220

  Web

  https://www.principalam.com

• Complaints Contact

  5th Floor, 1 Aldermanbury Square

  London

  City Of London

  EC2V 7HR

  UNITED KINGDOM

  Phone

  +442077100220

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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 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 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 5 limitations Hide limitations

  • · Limited to the customer types "eligible counterparty" and "professional client".
  • · 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 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 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.

• 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 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 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.

• Frederick Tennyson Laydon

  IRN FTL01002

  • CF30 Customer (1 Nov 2007 to 4 Mar 2010)
  • CF26 Customer Trading (28 Feb 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (8 Sep 2003 to 31 Oct 2007)
  • CF27 Investment Management (8 Sep 2003 to 8 Feb 2006)
• Garandeep Singh Dhillon

  IRN GXD00312

  • [FCA CF] Material risk taker (since 26 Mar 2023)
• Grant Jeremy Forster

  IRN GJF01045

  • CF10 Compliance Oversight (18 Dec 2003 to 28 Jul 2006)
  • CF16 Significant Mgt (Desgntd Investment Business) (24 Sep 2003 to 28 Jul 2006)
  • CF3 Chief Executive (24 Sep 2003 to 28 Jul 2006)
  • CF8 Apportionment and Oversight (24 Sep 2003 to 28 Jul 2006)
  • CF1 Director (24 Sep 2003 to 13 May 2009)
  • CF21 Investment Adviser (24 Sep 2003 to 28 Jul 2006)
• Greg David Thornton

  IRN GDT01038

  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Sep 2021)
  • CF1 Director (29 Sep 2014 to 28 Jul 2016)
• Haojie Xu

  IRN HXX19027

  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
• Heiko Schuleit

  IRN HXS01339

  • CF30 Customer (1 Nov 2007 to 10 Nov 2017)
  • CF21 Investment Adviser (21 Feb 2006 to 31 Oct 2007)
• Helly Carine Pilavachi

  IRN HCP01008

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Aug 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2021)
• Henry Ballmann

  IRN HXB01196

  • CF21 Investment Adviser (17 Feb 2005 to 20 Feb 2007)
• Huw Meredudd Price Gronow

  IRN HMG01010

  • CF30 Customer (1 Nov 2007 to 10 Aug 2016)
  • CF26 Customer Trading (24 Sep 2004 to 31 Oct 2007)
• Iain James Mather

  IRN IJM01088

  • CF11 Money Laundering Reporting (2 Jan 2008 to 1 Mar 2011)
  • CF10 Compliance Oversight (2 Jan 2008 to 1 Mar 2011)

No changes recorded yet.