Western Asset Management Company Limited

• Principal Place of Business

  Western Asset Management Company Limited

  10 Exchange Square

  Primrose Street

  London

  EC2A 2EN

  UNITED KINGDOM

  Phone

  +4402074223000

  Web

  https://www.westernasset.com/gb/qe/

• Complaints Contact

  10 Exchange Square

  Primrose Street

  London

  EC2A 2EN

  UNITED KINGDOM

  Phone

  +4402074223011

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Binary Bet, 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, Structured Deposits, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Limited to recognised 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 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 these activities to the customer types "professional client" and "eligible counterparty".
  • · 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

  Show 1 limitation Hide limitations

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

• Arranges Investments

  For Eligible Counterparty, Professional, Binary Bet, 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, Structured Deposits, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Firm is limited to dealing only activities
  • · Limited to recognised 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 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.
  • · 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.

• Stockbroking

  For Eligible Counterparty, Professional, Binary Bet, 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, Structured Deposits, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Firm is limited to dealing-only activities
  • · 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.
  • · Limited to repurchase agreement activities and in carrying on these activities to the securities, "government and public security", "certificate representing certain security", and "right to or interest in investments - security", (when the latter is associated with these specified investments).

• Investment Setup

  For Eligible Counterparty, Professional, Binary Bet, 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, Structured Deposits, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Firm is limited to dealing-only activities
  • · Limited to 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 recognised 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.
  • · 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, Binary Bet, 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, 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.

• Marco Roberto Antonio Avanzo Barbieri

  IRN MRA01076

  • CF30 Customer (1 Nov 2007 to 24 Jun 2011)
  • CF21 Investment Adviser (9 Oct 2006 to 31 Oct 2007)
• Marek Andrzej Siwicki

  IRN MAS00141

  • CF30 Customer (10 Feb 2014 to 26 Mar 2018)
• Marian George

  IRN MXG01355

  • CF30 Customer (1 Nov 2007 to 14 Nov 2018)
  • CF21 Investment Adviser (22 Oct 2004 to 31 Oct 2007)
• Mark Remington

  IRN MXR02024

  • CF30 Customer (3 Jan 2012 to 5 Jul 2013)
• Mary Ann Colledge

  IRN MAC01131

  • CF10 Compliance Oversight (1 Dec 2001 to 29 Nov 2002)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 29 Nov 2002)
• Matthew Hodges

  IRN MXH02117

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Jul 2025)
  • CF30 Customer (5 Nov 2009 to 8 Dec 2019)
• Matthew Jackson

  IRN MXJ01311

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (21 Mar 2007 to 31 Oct 2007)
• Michael Barukh Zelouf

  IRN MBZ01001

  • SMF1 Chief Executive (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2025)
  • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2025)
  • CF10 Compliance Oversight (21 Apr 2009 to 9 Nov 2009)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (28 May 2002 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (28 May 2002 to 31 Oct 2007)
  • CF3 Chief Executive (28 May 2002 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Michael Benjamin Thomas

  IRN MBT01011

  • CF30 Customer (1 Nov 2007 to 20 Mar 2009)
  • CF21 Investment Adviser (15 Nov 2006 to 31 Oct 2007)
• Michael Even

  IRN MXE01275

  • CF1 Director (6 Apr 2006 to 12 May 2006)

No changes recorded yet.