Union Bancaire Privee, UBP SA

• Principal Place of Business

  Seymour Mews House

  26-37 Seymour Mews

  London

  W1H 6BN

  UNITED KINGDOM

  Phone

  +4402073691350

  Web

  https://www.ubp.com/en/contact/our-offices/ubp-london

• Complaints Contact

  Seymour Mews House

  26-37 Seymour Mews

  London

  W1H 6BN

  UNITED KINGDOM

  Phone

  +4402073691350

• Bank Deposits

  For All, Deposit

• Mortgage Servicing

  For Customer, Regulated mortgage contract

• Investment Advice (no pensions)

  For Eligible Counterparty, 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, Funeral plan contract, 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, Structured Deposits, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Limited to regulated and unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to advisory-only activities and in carrying on such activities to the customer type "retail client".
  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• 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 Eligible Counterparty, 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, Funeral plan contract, 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, Structured Deposits, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Limited to regulated and unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to investment management activities for the specified customer types.
  • · Limited to dealing-only activities.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Arranges Asset Safekeeping

  For Eligible Counterparty, 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, Funeral plan contract, 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

  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, 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, Funeral plan contract, 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, Structured Deposits, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Alternative Debenture, 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, 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.

• Mortgage Lending

  For Customer, Regulated mortgage contract

• Consumer Loans

• Loan Servicing

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Eligible Counterparty, 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, Funeral plan contract, 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, Structured Deposits, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Limited to regulated and unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to investment management activities for the specified customer types.
  • · Limited to transaction-only activities.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, 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, Funeral plan contract, 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, Structured Deposits, Unit, Warrant

  Show 2 limitations Hide limitations

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

• Holds Your Assets

  For Eligible Counterparty, 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, Funeral plan contract, 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

  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.

• James Benyon Ritchie

  IRN JBR01051

  • CF11 Money Laundering Reporting (23 Nov 2005 to 12 Dec 2008)
• James Daly

  IRN JXD78348

  • [FCA CF] Client dealing (since 9 Sep 2019)
  • [FCA CF] Material risk taker (since 9 Sep 2019)
  • [FCA CF] Functions requiring qualifications (20 Jan 2020 to 27 Feb 2024)
• James Edwin Dennis

  IRN JXD01150

  • [FCA CF] Client dealing (since 11 Sep 2023)
• James Gerard Kane

  IRN JGK01022

  • [FCA CF] Functions requiring qualifications (1 Jun 2021 to 4 Jul 2022)
  • [FCA CF] Client dealing (1 Jun 2021 to 4 Jul 2022)
• James Justin Glasgow

  IRN JJG01032

  • CF26 Customer Trading (1 Dec 2001 to 31 Jul 2002)
• Jane Caroline Robson

  IRN JXR00815

  • [FCA CF] Significant management (since 13 Feb 2023)
  • [FCA CF] Material risk taker (since 13 Feb 2023)
• Jean Noel Sione

  IRN JNS01017

  • CF30 Customer (1 Nov 2007 to 23 Mar 2012)
  • CF8 Apportionment and Oversight (22 Feb 2002 to 31 Mar 2009)
  • CF3 Chief Executive (22 Feb 2002 to 7 Mar 2011)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Jean-Baptiste Joseph Segard

  IRN JJS01099

  • CF29 Significant management (12 Nov 2010 to 18 Jan 2013)
• Jean-Luc Eyssautier

  IRN JXE01385

  • [FCA CF] Manager of certification employee (since 9 Sep 2019)
  • [FCA CF] Material risk taker (since 9 Sep 2019)
  • [PRA CF] Significant risk taker or Material risk taker (9 Sep 2019 to 27 Feb 2024)
  • CF30 Customer (1 Jul 2013 to 6 Mar 2016)
• Jean-Marc Puech

  IRN JXP01507

  • CF30 Customer (1 Nov 2007 to 31 Oct 2010)
  • CF26 Customer Trading (26 Nov 2003 to 31 Oct 2007)

• Luigi Bellini (no longer appointed)

  FRN 939426 · Appointed 26 Nov 2020 · Until 4 Oct 2022

• London Alfa Limited (no longer appointed)

  FRN 823808 · Appointed 19 Oct 2018 · Until 17 Apr 2019

• Yan Capital Limited (no longer appointed)

  FRN 793318 · Appointed 27 Feb 2018 · Until 25 Aug 2020

• Stephen Constable-Maxwell (no longer appointed)

  FRN 764887 · Appointed 18 Nov 2016 · Until 30 Sep 2022

• Jimmy Metta (no longer appointed)

  FRN 743443 · Appointed 7 Apr 2016 · Until 12 Mar 2018

• Guy Baruch (no longer appointed)

  FRN 742410 · Appointed 31 Mar 2016 · Until 5 Oct 2018

• Hancock Privee Ltd (no longer appointed)

  FRN 692753 · Appointed 8 May 2015 · Until 20 Jan 2017

No changes recorded yet.