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.

• Oliver Robert Meyer

  IRN ORM01010

  • CF30 Customer (11 Jul 2011 to 22 Jun 2018)
• Olivier Asselin

  IRN OHA01001

  • CF30 Customer (1 Nov 2007 to 26 Aug 2009)
  • CF21 Investment Adviser (9 Jan 2006 to 9 Jan 2006)
  • CF27 Investment Management (9 Jan 2006 to 31 Oct 2007)
• Olivier Guipet

  IRN OXG01003

  • CF30 Customer (25 Aug 2009 to 2 Oct 2015)
  • CF21 Investment Adviser (9 Jan 2006 to 19 Dec 2006)
  • CF27 Investment Management (9 Jan 2006 to 31 Oct 2007)
• Otto Dichtl

  IRN OXD01025

  • CF30 Customer (1 Nov 2007 to 24 Apr 2009)
  • CF27 Investment Management (16 Nov 2006 to 31 Oct 2007)
• Paul Edward Wynn

  IRN PEW01026

  • CF30 Customer (1 Nov 2007 to 10 Jun 2011)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Paul Kevin Shuttleworth

  IRN PKS01014

  • CF30 Customer (19 Jan 2012 to 1 May 2017)
• Paulo Alexandre Pereira Caricati

  IRN PAC01319

  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF29 Significant management (12 Feb 2010 to 8 Dec 2019)
• Peter David Bassett

  IRN PDB01060

  • CF30 Customer (1 Nov 2007 to 1 Jul 2013)
  • CF21 Investment Adviser (19 Sep 2006 to 31 Oct 2007)
• Peter Lanning Bain

  IRN PLB01058

  • CF2 Non Executive Director (27 Jan 2004 to 31 Mar 2009)
• Peter Taplin

  IRN PXT01115

  • CF30 Customer (1 Nov 2007 to 17 Nov 2008)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.