Threadneedle Asset Management Limited

• Principal Place of Business

  Cannon Place

  78 Cannon Street

  London

  EC4N 6AG

  UNITED KINGDOM

  Phone

  +442074645000

  Web

  https://www.columbiathreadneedle.com

• Complaints Contact

  Cannon Place

  78 Cannon Street

  London

  EC4N 6AG

  UNITED KINGDOM

  Phone

  +442074645000

• 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, Retail (Investment), 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, 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

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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, Retail (Investment), 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, 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

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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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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

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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, Retail (Investment), 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, 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

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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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), 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, 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.

• Daniel Ward

  IRN DXW01257

  • CF21 Investment Adviser (1 Dec 2001 to 28 Aug 2003)
• Danny Burton

  IRN DJB01212

  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 May 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 May 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Danny Firth

  IRN DXF01217

  • CF16 Significant Mgt (Desgntd Investment Business) (1 Mar 2004 to 30 Sep 2006)
• Danny Ramos

  IRN DLR01044

  • [FCA CF] Client dealing (since 1 Apr 2021)
  • [FCA CF] Material risk taker (since 1 Apr 2021)
• Darrel James Buckley

  IRN DJB01656

  • SMF17 Money Laundering Reporting Officer (MLRO) (30 Jan 2025 to 26 Nov 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Apr 2026)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Apr 2026)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Apr 2026)
  • CF10 Compliance Oversight (24 Mar 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (24 Mar 2016 to 8 Dec 2019)
• Darrell William Joseph O'Dea

  IRN DWO01006

  • CF30 Customer (1 Nov 2007 to 31 Dec 2008)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Dave Chappell

  IRN DAC01174

  • [FCA CF] Client dealing (since 9 Oct 2023)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (20 Jun 2003 to 31 Oct 2007)
• David Antony John Hopkins

  IRN DAH01126

  • CF27 Investment Management (27 Jul 2007 to 19 Oct 2007)
• David Backhouse

  IRN DIB01014

  • [FCA CF] Client dealing (since 9 Oct 2023)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (15 Jun 2005 to 31 Oct 2007)
• David Donora

  IRN DMD01040

  • [FCA CF] Material risk taker (9 Dec 2019 to 22 Apr 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 22 Apr 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 22 Apr 2022)
  • CF30 Customer (15 Jul 2008 to 8 Dec 2019)

No changes recorded yet.