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.

  • Richard Michael Stewart White

    IRN RMW01065

    • CF27 Investment Management (25 Feb 2003 to 4 May 2007)
  • Richard Warne

    IRN RAW01122

    • CF30 Customer (1 Nov 2007 to 1 Sep 2013)
    • CF21 Investment Adviser (9 May 2007 to 31 Oct 2007)
    • CF27 Investment Management (9 May 2007 to 31 Oct 2007)
  • Richard Zechmeister

    IRN RGZ01001

    • CF30 Customer (1 Nov 2007 to 30 Jun 2009)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • Robert Charles Norman Burdett

    IRN RCB01069

    • CF27 Investment Management (1 Dec 2001 to 28 Feb 2007)
  • Robert Eiichi Bowie

    IRN REB01039

    • CF30 Customer (1 Nov 2007 to 30 Jun 2009)
    • CF21 Investment Adviser (9 May 2007 to 31 Oct 2007)
    • CF27 Investment Management (20 Mar 2007 to 31 Oct 2007)
  • Robert John Parker

    IRN RJP01170

    • CF30 Customer (1 Nov 2007 to 5 Sep 2013)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 16 Jul 2002)
  • Robert Lawrence Graham-Brown

    IRN RLG01031

    • CF30 Customer (24 Apr 2008 to 30 Jun 2009)
  • Robert Mark Wainwright

    IRN RXW00505

    • [FCA CF] Manager of certification employee (18 Oct 2024 to 4 Aug 2025)
  • Robert Sanow

    IRN RXS01628

    • [FCA CF] Client dealing (20 Jan 2020 to 30 Sep 2023)
  • Robert Stephen Mitchelson

    IRN RSM01105

    • CF30 Customer (1 Nov 2007 to 22 Feb 2008)
    • CF26 Customer Trading (18 Nov 2004 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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