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.

  • Paul Graham Fletcher

    IRN PGF01035

    • SMF16 Compliance Oversight (9 Dec 2019 to 6 Apr 2023)
    • [FCA CF] Material risk taker (9 Dec 2019 to 7 Apr 2023)
    • CF10 Compliance Oversight (10 Dec 2014 to 8 Dec 2019)
  • Paul Hamilton

    IRN PGH01072

    • CF21 Investment Adviser (11 Nov 2002 to 13 Dec 2002)
  • Paul Julian Mann

    IRN PJM01289

    • CF30 Customer (1 Nov 2007 to 19 Jun 2008)
    • CF21 Investment Adviser (16 Feb 2007 to 31 Oct 2007)
  • Paul O'Keefe

    IRN PXO01208

    • CF28 Systems and controls (19 Dec 2013 to 3 Jun 2014)
  • Paul Spencer Lloyd

    IRN PSL01033

    • CF11 Money Laundering Reporting (23 Oct 2012 to 31 Dec 2015)
  • Paul St John Brine

    IRN PSB01051

    • CF30 Customer (11 Dec 2008 to 7 Apr 2012)
    • CF21 Investment Adviser (18 Jun 2003 to 1 Jul 2004)
  • Paul Stafford Fage

    IRN PSF01012

    • CF30 Customer (1 Dec 2011 to 7 Dec 2012)
  • Paul Thomas Griffiths

    IRN PTG01016

    • CF1 Director (25 May 2007 to 30 Jun 2009)
  • Peter Dellsperger

    IRN PXD01269

    • CF27 Investment Management (1 Dec 2001 to 5 Jul 2002)
  • Peter Edward Brown

    IRN PEB01048

    • CF30 Customer (1 Nov 2007 to 11 Aug 2008)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
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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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