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

• Catherine Marie Delplace

  IRN CMC01071

  • CF26 Customer Trading (1 Dec 2001 to 28 Apr 2004)
• Colin Humphries

  IRN CXH01976

  • CF30 Customer (17 Jul 2015 to 30 Oct 2019)
• Colin Richard Newham

  IRN CRN01026

  • CF28 Systems and controls (26 Mar 2009 to 1 Apr 2011)
• Crispian Hilary Vincent Collins

  IRN CHC01018

  • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Apr 2003)
• Daniel Beadel

  IRN DXB02752

  • SMF2 Chief Finance (since 9 Dec 2019)
  • CF28 Systems and controls (4 Apr 2017 to 8 Dec 2019)
• Daniel Sean Carter

  IRN DSC01085

  • CF10a CASS Oversight function (21 Jul 2014 to 3 Nov 2015)
  • CF1 Director (15 Apr 2009 to 3 Nov 2015)
• David Andrew Fitzharris

  IRN DAF01070

  • CF10 Compliance Oversight (6 Sep 2004 to 30 Apr 2006)
• David Andrew Oakton

  IRN DAO01022

  • CF10 Compliance Oversight (9 Mar 2011 to 31 Jul 2013)
  • CF11 Money Laundering Reporting (3 Jan 2007 to 31 Jul 2013)
• David Graham Mattinson

  IRN DGM01130

  • CF28 Systems and controls (23 Oct 2012 to 15 Apr 2013)
• David Thoma

  IRN DXT01705

  • [FCA CF] Client dealing (1 Mar 2021 to 30 Nov 2021)

No changes recorded yet.