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.

  • Neil Gregson

    IRN NDG01012

    • CF30 Customer (1 Nov 2007 to 30 Jun 2009)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Neil Lamond Brown

    IRN NXB01181

    • CF15 Internal Audit (1 Dec 2001 to 30 Dec 2005)
    • CF14 Risk Assessment (1 Dec 2001 to 30 Dec 2005)
  • Nicholas Kar Ming Low

    IRN NKL00005

    • CF30 Customer (3 Apr 2012 to 30 Jun 2013)
  • Nicholas Livingstone

    IRN NJL01059

    • CF28 Systems and controls (29 Jul 2014 to 24 Apr 2015)
  • Nicola Anne Hopper

    IRN NAH01113

    • CF30 Customer (4 Nov 2013 to 18 Nov 2015)
  • Nicola Paul Andrea Cacciabue

    IRN NPC01075

    • CF30 Customer (22 Sep 2009 to 1 Mar 2012)
  • Nicola Sarah Payne

    IRN NSP01042

    • [FCA CF] Client dealing (9 Dec 2019 to 13 Jan 2023)
    • CF30 Customer (27 Jul 2011 to 8 Dec 2019)
  • Nicole Coll

    IRN NXC01524

    • [FCA CF] Material risk taker (9 Jan 2024 to 18 Jun 2024)
    • Director of firm who is not a certification employee or a SMF manager (17 Oct 2022 to 18 Jun 2024)
  • Nicole Michelle Wilson

    IRN NMW01035

    • CF26 Customer Trading (17 Feb 2004 to 21 May 2007)
  • Nigel Hill

    IRN NXH01189

    • CF3 Chief Executive (7 Oct 2011 to 24 Oct 2013)
    • CF1 Director (16 Sep 2009 to 11 Aug 2014)
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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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