UBS Asset Management Funds 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

• P2P Lending Advice

  For Commercial, Retail (Non-Investment Insurance)

• Investment Advice (no pensions)

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Authorised to Operate

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, 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, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Stockbroking

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, 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, Non-investment insurance contracts, 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

• Runs Investment Funds

• Investment Setup

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Retail Investment Funds

• Specialist Investment Funds

• Private Investment Funds

• Adam Jehan Aziz

  IRN AJA01159

  • [FCA CF] Manager of certification employee (30 Nov 2023 to 20 Mar 2025)
  • Responsible for Insurance Distribution (8 Apr 2021 to 19 Apr 2021)
  • SMF1 Chief Executive (14 Jan 2021 to 15 Nov 2023)
  • SMF3 Executive Director (9 Dec 2019 to 15 Nov 2023)
  • SMF24 Chief Operations (9 Dec 2019 to 8 Nov 2021)
  • CF1 Director (1 Mar 2018 to 8 Dec 2019)
• Adrianus Gijsbertus Van Riemsdijk

  IRN AGV01015

  • [FCA CF] Material risk taker (since 15 Jul 2022)
  • [FCA CF] Manager of certification employee (since 28 Sep 2020)
  • [FCA CF] Client dealing (since 25 Aug 2020)
  • CF30 Customer (11 Apr 2017 to 8 Dec 2019)
• Alastair Quinten Smith

  IRN AQS00003

  • CF11 Money Laundering Reporting (6 Sep 2004 to 23 Sep 2005)
• Alessandro Merlo

  IRN AXM02727

  • [FCA CF] Manager of certification employee (27 Aug 2020 to 30 Nov 2021)
  • [FCA CF] Client dealing (27 Aug 2020 to 30 Nov 2021)
  • [FCA CF] Material risk taker (27 Aug 2020 to 31 Dec 2021)
  • CF30 Customer (13 Jan 2015 to 8 Dec 2019)
• Alistair John Kerslake

  IRN AJK01192

  • CF28 Systems and controls (21 Jun 2013 to 26 Mar 2015)
• Andrew David Koch

  IRN ADK01009

  • CF27 Investment Management (1 Dec 2001 to 21 Jan 2002)
• Andrew James Newnham

  IRN AJN01118

  • CF11 Money Laundering Reporting (24 Jul 2015 to 1 Sep 2017)
• Andrew Jonathan Davies

  IRN AJD01234

  • CF1 Director (19 Jan 2010 to 8 Apr 2016)
• Andrew Keith Larkin

  IRN AKL01043

  • SMF3 Executive Director (9 Dec 2019 to 30 Jun 2023)
  • CF1 Director (26 Jul 2018 to 8 Dec 2019)
• Andrew Kingsley Leach Wood

  IRN AXW00510

  • SMF1 Chief Executive (19 Oct 2023 to 11 Jun 2025)
  • SMF3 Executive Director (19 Oct 2023 to 11 Jun 2025)
  • SMF24 Chief Operations (22 Jul 2022 to 2 Jan 2025)

No changes recorded yet.