UBS Asset Management Life 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

• Bank Deposits

  For All, Deposit

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  • · Limited to accepting deposits in the course of carrying on insurance business for which the firm holds a permission.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Professional, Retail (Investment), 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, Life Policy, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · 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 Professional, Retail (Investment), 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, Life Policy, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · 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 Insurance Policies

  For All, Life and annuity, Linked long-term

• Stockbroking

  For Professional, Retail (Investment), 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, Life Policy, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), 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), Future (excluding a commodity future and a rolling spot forex contract), Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Issues Insurance

  For All, Life and annuity, Linked long-term

• Investment Setup

  For Professional, Retail (Investment), 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, Life Policy, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · 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, Retail (Investment), 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, Life Policy, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · 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.

• Holds Your Assets

  For Professional, Retail (Investment), 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, Life Policy, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · 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.

• Paul Turnbull

  IRN PXT01206

  • CF12 Actuarial (1 Dec 2001 to 28 Sep 2007)
• Paul Yates

  IRN PTY00002

  • CF8 Apportionment and Oversight (3 Apr 2003 to 30 Sep 2005)
  • CF1 Director (1 Dec 2001 to 30 Sep 2005)
• Peter Davis

  IRN PXD01740

  • SMF11 Chair of the Audit Committee (4 Feb 2019 to 3 Aug 2020)
  • SMF14 Senior Independent Director (10 Dec 2018 to 31 Aug 2023)
  • SIMF14 Senior Independent Director (7 Mar 2016 to 9 Dec 2018)
  • CF2 Non Executive Director (7 Jan 2016 to 6 Mar 2016)
• Philip Ian Dickinson Craig

  IRN PIC01012

  • CF15 Internal Audit (1 Dec 2001 to 3 Sep 2004)
• Ramsay Mahmoud Nafa

  IRN RMN01047

  • CF10 Compliance Oversight (26 Nov 2013 to 17 Mar 2017)
  • CF11 Money Laundering Reporting (26 Nov 2013 to 27 Jul 2015)
• Rosemary Diana Rachel Bichard

  IRN RDB01059

  • SMF14 Senior Independent Director (since 30 Nov 2023)
• Ruth Beechey

  IRN RXB01657

  • SMF3 Executive Director (10 Dec 2018 to 2 Oct 2023)
  • CF1 Director (6 Sep 2004 to 3 Feb 2012)
• Sebastjan Smodis

  IRN SXS00425

  • SMF4 Chief Risk (since 27 Feb 2026)
• Sharon Canham

  IRN SXC00255

  • SMF24 Chief Operations (2 Jan 2025 to 17 Jan 2025)
• Thomas David Griffiths

  IRN TXG77403

  • [PRA CF] Significant risk taker or Material risk taker (since 26 Nov 2020)
  • [FCA CF] Significant management (since 26 Nov 2020)
  • [FCA CF] Material risk taker (since 26 Nov 2020)
  • [PRA CF] Key function holder (since 28 Apr 2020)

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