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.

• Fadil Laurence

  IRN FXL00157

  • [FCA CF] Client dealing (since 1 Jul 2024)
• Fella Khelifi-Arnulphy

  IRN KXF01157

  • CF30 Customer (1 Nov 2007 to 31 Oct 2009)
  • CF21 Investment Adviser (28 Jun 2006 to 31 Oct 2007)
  • CF27 Investment Management (28 Jun 2006 to 31 Oct 2007)
• Fiona Sheerin

  IRN FMS01047

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • [FCA CF] Client dealing (since 13 Jun 2022)
  • [FCA CF] Functions requiring qualifications (since 13 Jun 2022)
• Franck Corvi

  IRN FPC01017

  • [FCA CF] Material risk taker (since 9 Sep 2019)
  • SMF22 Other Local Responsibility (since 7 Mar 2016)
  • [PRA CF] Key function holder (9 Sep 2019 to 27 Feb 2024)
  • [FCA CF] Significant management (9 Sep 2019 to 27 Feb 2024)
  • [PRA CF] Significant risk taker or Material risk taker (9 Sep 2019 to 27 Feb 2024)
  • CF29 Significant management (24 May 2012 to 6 Mar 2016)
• Francois Jolly

  IRN FXJ01034

  • CF30 Customer (1 Nov 2007 to 9 Sep 2011)
  • CF27 Investment Management (28 Jul 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (28 Jul 2006 to 31 Oct 2007)
• Frederic Lamotte

  IRN FXL00059

  • [FCA CF] Material risk taker (since 5 Oct 2021)
  • SMF19 Head of Overseas Branch/Head of Overseas (since 5 Oct 2021)
  • [PRA CF] Significant risk taker or Material risk taker (5 Oct 2021 to 30 Apr 2024)
  • [FCA CF] Manager of certification employee (5 Oct 2021 to 30 Apr 2024)
  • [FCA CF] Significant management (5 Oct 2021 to 30 Apr 2024)
  • [PRA CF] Key function holder (5 Oct 2021 to 30 Apr 2024)
• Fulvia Cagnetti

  IRN FXC01219

  • CF30 Customer (11 Aug 2008 to 8 Mar 2013)
• Gary Edgard Frank Bennaim

  IRN GEB01067

  • CF30 Customer (13 Feb 2008 to 9 Feb 2009)
• Gary James Charles

  IRN GJC01130

  • CF30 Customer (1 Nov 2007 to 19 Dec 2008)
  • CF21 Investment Adviser (22 Jan 2007 to 31 Oct 2007)
• George Duncan Steele-Bodger

  IRN GDS01039

  • CF27 Investment Management (18 Jun 2002 to 17 Jan 2003)
  • CF21 Investment Adviser (18 Jun 2002 to 17 Jan 2003)

• 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.