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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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 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.

• 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 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.

• 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 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.

• 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 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.

• 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.

• Stephen John Parr

  IRN SJP01260

  • CF30 Customer (1 Nov 2007 to 30 Jun 2009)
  • CF27 Investment Management (15 Jul 2005 to 31 Oct 2007)
• Stephen Leslie Foster

  IRN SLF01019

  • SMF1 Chief Executive (9 Dec 2019 to 31 May 2020)
  • SMF3 Executive Director (9 Dec 2019 to 31 May 2020)
  • CF3 Chief Executive (6 Nov 2013 to 8 Dec 2019)
  • CF29 Significant management (18 May 2011 to 8 Jul 2014)
  • CF1 Director (18 May 2011 to 8 Dec 2019)
  • CF30 Customer (2 Dec 2008 to 8 Dec 2019)
• Stephen Philip Putnam

  IRN SPP01031

  • CF27 Investment Management (9 Jan 2007 to 22 May 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 4 Mar 2004)
• Stephen Robert Goldman

  IRN SRG01040

  • CF27 Investment Management (1 Dec 2001 to 29 Nov 2004)
  • CF1 Director (1 Dec 2001 to 4 Oct 2004)
• Stuart John Woodward

  IRN SXW00558

  • [FCA CF] Material risk taker (7 Feb 2022 to 12 Jun 2023)
• Stuart McKenzie-Rock

  IRN SXM01251

  • [FCA CF] Material risk taker (3 Jan 2023 to 15 Aug 2023)
• Stuart Peter Harris

  IRN SPH01097

  • CF30 Customer (1 Nov 2007 to 10 Nov 2008)
  • CF27 Investment Management (12 Sep 2003 to 31 Oct 2007)
• Sujorit Ghosh

  IRN SXG01154

  • CF30 Customer (13 Dec 2011 to 14 Dec 2012)
• Suliman Maher AlAujan

  IRN SXA07981

  • [FCA CF] Client dealing (9 Dec 2019 to 16 Jul 2021)
  • CF30 Customer (15 Nov 2018 to 8 Dec 2019)
• Surabi Chandirasekaran

  IRN SXC62757

  • [FCA CF] Client dealing (24 Jan 2022 to 10 Mar 2023)

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

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

No changes recorded yet.