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.

• Neil Alistair Duncan

  IRN NXD12052

  • SMF4 Chief Risk (since 25 Aug 2022)
  • [FCA CF] Significant management (since 24 Jan 2022)
  • [FCA CF] Material risk taker (since 24 Jan 2022)
  • [FCA CF] Manager of certification employee (since 24 Jan 2022)
• Neil Babbage

  IRN NXB21018

  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • SMF24 Chief Operations (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
• Neil James Richardson

  IRN NJR01081

  • CF27 Investment Management (1 Dec 2001 to 12 Sep 2003)
• Neil Robson

  IRN NCR01014

  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (11 Jan 2012 to 8 Dec 2019)
• Niall David Mowlds

  IRN NDM01058

  • CF29 Significant management (1 Nov 2007 to 23 May 2011)
  • CF16 Significant Mgt (Desgntd Investment Business) (8 Jan 2007 to 31 Oct 2007)
• Nicholas James Burgoyne

  IRN NJB01145

  • CF21 Investment Adviser (1 Dec 2001 to 16 Dec 2003)
• Nicholas James Davis

  IRN NJD01116

  • CF30 Customer (13 Sep 2010 to 4 Jul 2014)
• Nicholas John Ring

  IRN NJR01045

  • SMF1 Chief Executive (24 Dec 2019 to 13 Nov 2023)
  • SMF3 Executive Director (24 Dec 2019 to 13 Nov 2023)
  • SMF9 Chair of the Governing Body (9 Dec 2019 to 13 Nov 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 15 Dec 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 15 Dec 2023)
  • CF29 Significant management (22 Jan 2009 to 18 Aug 2015)
• Nick Hawkes

  IRN NFH01006

  • [FCA CF] Client dealing (17 May 2024 to 30 Apr 2025)
  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Apr 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Nicolas Janvier Jr

  IRN NXJ01236

  • [FCA CF] Manager of certification employee (16 Oct 2020 to 9 Sep 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 9 Sep 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2024)
  • CF30 Customer (18 Feb 2015 to 8 Dec 2019)

No changes recorded yet.