UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD

Date authorised
1 April 2013
Companies House
01688075
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    5 Broadgate
    London
    EC2M 2QS
    UNITED KINGDOM
    Phone
    +442075678000
    Web
    https://www.ubs.com

  • Complaints Contact

    5 Broadgate
    London
    EC2M 2QS
    UNITED KINGDOM
    Phone
    +442075678000

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Alternative Debenture, 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, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Eligible Counterparty, Professional, Alternative Debenture, 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, Unit, Warrant

    Show 1 limitation
    • · 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, Alternative Debenture, 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, Unit, Warrant

    Show 1 limitation
    • · 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, Alternative Debenture, 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, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Investment Setup

    For Eligible Counterparty, Professional, Alternative Debenture, 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, Unit, Warrant

    Show 1 limitation
    • · 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 Professional, Alternative Debenture, 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, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Alastair Cookson

    IRN AXC01490

    • CF30 Customer (18 Aug 2011 to 19 Apr 2013)
  • Albert Sohn

    IRN AXS03168

    • CF29 Significant management (12 Sep 2014 to 31 Dec 2018)
  • Alex Lennon-Smith

    IRN AXL01799

    • [FCA CF] Client dealing (9 Dec 2019 to 29 Jun 2022)
    • CF30 Customer (8 Sep 2014 to 8 Dec 2019)
  • Alex Ricchebuono

    IRN AXR01362

    • CF30 Customer (31 Jul 2009 to 10 Aug 2010)
  • Alexander Graham McWilliam

    IRN AGM01177

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Aug 2023)
    • CF30 Customer (31 Aug 2015 to 8 Dec 2019)
  • Alexander Hermann Schwiersch

    IRN AHS01066

    • CF30 Customer (1 Nov 2007 to 30 Jun 2009)
    • CF27 Investment Management (21 Jun 2007 to 31 Oct 2007)
  • Alexandre Jean Paul Abadie

    IRN AXA01499

    • CF1 Director (22 Apr 2008 to 1 Jul 2008)
    • CF30 Customer (1 Nov 2007 to 1 Jul 2008)
    • CF29 Significant management (1 Nov 2007 to 1 Jul 2008)
    • CF16 Significant Mgt (Desgntd Investment Business) (9 Mar 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (15 Jun 2006 to 31 Oct 2007)
  • Alexandre Roubaud

    IRN AXR02195

    • CF30 Customer (9 Aug 2012 to 30 Jun 2013)
  • Alfke Christine Kierspel

    IRN ACK01013

    • CF30 Customer (26 Oct 2015 to 26 Aug 2018)
  • Alfred Bryant

    IRN AXB02302

    • CF30 Customer (14 Dec 2009 to 25 Nov 2011)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

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