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.

• John Daryl Parkin

  IRN JXP13897

  • [FCA CF] Client dealing (9 Dec 2019 to 16 May 2022)
  • CF30 Customer (18 Apr 2019 to 8 Dec 2019)
• Jonathan Mark Nash

  IRN JMN01034

  • CF21 Investment Adviser (7 Jul 2004 to 18 Jul 2005)
• Jonathan Neil Gregory

  IRN JNG01011

  • CF30 Customer (1 Nov 2007 to 30 Sep 2009)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Julian Jantschik

  IRN JXJ11819

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2025)
  • CF30 Customer (22 Feb 2019 to 8 Dec 2019)
• Julian Jay Whincup

  IRN JJW01031

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (4 Apr 2006 to 31 Oct 2007)
• Justin Anthony Rose

  IRN JAR01083

  • CF30 Customer (7 Oct 2010 to 2 Mar 2018)
• Kate Louise Blackledge

  IRN KLB01070

  • [FCA CF] Material risk taker (since 9 Dec 2022)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (31 Aug 2011 to 1 Feb 2012)
• Kerry Marie Stobo

  IRN KXS00370

  • [FCA CF] Material risk taker (9 Dec 2022 to 1 Jun 2023)
  • [FCA CF] Significant management (14 Jan 2022 to 1 Jun 2023)
• Kristina Sigrun Maria Anger

  IRN KSA01019

  • CF30 Customer (3 Jul 2008 to 24 Apr 2009)
• Lucas Bouwhuis

  IRN LXB01122

  • CF30 Customer (1 Nov 2007 to 10 Jun 2010)
  • CF27 Investment Management (12 Jul 2005 to 31 Oct 2007)

No changes recorded yet.