Threadneedle International 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

• 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, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Limited to investment management activities and in carrying on these activities to the customer types "Professional Client" and "Eligible Counterparty".

• 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

  Show 4 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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 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).

• 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, 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 3 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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, 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 5 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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 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, 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.

• Neil Babbage

  IRN NXB21018

  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 24 Jun 2025)
• Neil Robson

  IRN NCR01014

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (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

  • SMF3 Executive Director (24 Dec 2019 to 4 Dec 2023)
  • SMF9 Chair of the Governing Body (24 Dec 2019 to 4 Dec 2023)
  • SMF1 Chief Executive (24 Dec 2019 to 4 Dec 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)
  • CF1 Director (31 Oct 2012 to 18 Aug 2015)
  • CF29 Significant management (22 Jan 2009 to 2 Jan 2014)
• 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 (12 May 2004 to 31 Oct 2007)
• Nicolas Janvier Jr

  IRN NXJ01236

  • [FCA CF] Material risk taker (9 Dec 2019 to 9 Sep 2024)
  • CF30 Customer (18 Feb 2015 to 8 Dec 2019)
• Nicolas Robin

  IRN YNR01002

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Oct 2024)
  • CF30 Customer (22 Sep 2010 to 8 Dec 2019)
• Nish Patel

  IRN NXP01340

  • [FCA CF] Material risk taker (since 1 Jan 2024)
  • [FCA CF] Client dealing (since 11 Oct 2023)

No changes recorded yet.