UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD

• 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

• 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

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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.

• 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, 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

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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, 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

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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, 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

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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.

• 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

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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 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 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.

• Jeremy Douglas Hippolite

  IRN JDH01078

  • CF30 Customer (24 Sep 2008 to 19 Jun 2009)
• Jeremy Duksin

  IRN JXD02080

  • CF30 Customer (16 May 2012 to 7 Jan 2013)
• Jeremy Lewis

  IRN JXL43251

  • [FCA CF] Material risk taker (1 May 2021 to 30 Jun 2025)
  • [FCA CF] Significant management (27 Nov 2020 to 7 Oct 2025)
• Jo McCaffrey

  IRN JXM00999

  • SMF3 Executive Director (23 Jan 2023 to 17 Jul 2023)
  • SMF1 Chief Executive (23 Jan 2023 to 17 Jul 2023)
  • [FCA CF] Material risk taker (1 Mar 2022 to 17 Jul 2023)
  • [FCA CF] Manager of certification employee (28 Feb 2022 to 1 Mar 2022)
  • [FCA CF] Significant management (28 Feb 2022 to 1 Mar 2022)
• Joachim Martin Mies

  IRN JMM01275

  • CF1 Director (19 Mar 2007 to 28 Sep 2007)
• Joanne Caroline Brown

  IRN JCB01125

  • CF21 Investment Adviser (7 Jan 2003 to 18 Aug 2003)
• Joanne Lesley Gilbert

  IRN JXG01411

  • CF30 Customer (1 Nov 2007 to 30 Jun 2009)
  • CF27 Investment Management (4 Jul 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 5 Jul 2005)
• John Brouard De Garis

  IRN JBD01027

  • CF30 Customer (1 Nov 2007 to 31 Jul 2008)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• John David Birkhold

  IRN JDB01159

  • CF30 Customer (7 Mar 2008 to 15 Oct 2008)
• John Kremer

  IRN JXK01167

  • CF30 Customer (1 Nov 2007 to 18 Mar 2011)
  • CF21 Investment Adviser (27 Nov 2006 to 31 Oct 2007)

• Credit Suisse Property Investment Management Ltd (no longer appointed)

  FRN 419903 · Appointed 14 Jan 2005 · Until 1 Nov 2010

No changes recorded yet.