Client Assets (Waivers)
|
|
|
- Curtis Ray
- 9 years ago
- Views:
Transcription
1 The FCA Register is at CASS 1.0 Bridgepoint Advisers II Limited /03/ /03/2016 Modification CASS 1.0 Bridgepoint Advisers Limited /03/ /03/2016 Modification CASS 1.1 Budge and Company Limited /02/ /02/2014 Modification CASS Abingworth LLP /12/ /12/2013 Modification CASS Abingworth Management Ltd /12/ /12/2013 Modification CASS Amundi (UK) Ltd /05/ /05/2014 Modification CASS F H. Manning Financial Services Limited /04/ /04/2015 Modification CASS MAYFAIR BRIDGING 1 LIMITED /12/ /12/2014 Modification CASS OPM Fund Management Ltd /02/ /02/2014 Modification CASS S.I.T. Savings Limited /01/ /01/2014 Modification CASS (3) Brandon Hill Capital Limited /06/ /06/2014 Modification CASS Capita Life & Pensions Regulated Services Limited /06/2004 Modification CASS Capita Life & Pensions Regulated Services Limited /06/ /06/2008 Modification CASS A J Bell Securities Limited /01/ /04/2006 Modification CASS A J Bell Securities Limited /12/ /03/2007 Waiver CASS Aberdeen Asset Managers Limited /08/ /08/2006 Waiver CASS Aberdeen Asset Managers Limited /10/ /01/2006 Waiver CASS Aberdeen Asset Managers Limited /02/ /05/2007 Modification CASS Avalon Investment Services Limited /09/ /12/2004 Modification CASS Banque Internationale a Luxembourg /08/ /11/2005 Waiver CASS BFS Investments Plc /01/ /04/2006 Waiver CASS Butterfield Bank (UK) Limited /09/ /12/2004 Waiver CASS Capita Financial Managers Limited /12/ /03/2007 Waiver CASS Close Asset Management (UK) Limited /09/ /12/2004 Waiver CASS Close Finsbury Asset Management Limited /09/ /12/2006 Waiver CASS Close Investments Limited /09/ /12/2006 Waiver 1 of 22
2 CASS Credit Suisse Asset Management Funds (UK) Limited /05/ /08/2005 Modification CASS Credit Suisse Asset Management Limited /05/ /08/2005 Waiver CASS Dexia EFM Limited /08/ /11/2005 Waiver CASS Dexia IIM Limited /08/ /11/2005 Waiver CASS Dexia PAM Limited /08/ /11/2005 Waiver CASS Direct Sharedeal Ltd /07/ /10/2007 Waiver CASS Edinburgh Fund Managers Plc /08/ /08/2006 Waiver CASS Edinburgh Fund Managers Plc /10/ /01/2006 Waiver CASS First State Investments (UK) Limited /12/ /03/2007 Waiver CASS Forester Fund Management Limited /04/ /04/2007 Modification CASS Forester Fund Management Limited /05/ /10/2007 Modification CASS Forester Fund Management Limited /11/ /10/2012 Modification CASS Halifax Share Dealing Limited /12/ /03/2007 Waiver CASS HBOS Investment Fund Managers Limited /05/ /04/2007 Modification CASS HBOS Investment Fund Managers Limited /05/ /10/2007 Modification CASS HBOS Investment Fund Managers Limited /04/ /12/2008 Modification CASS Henderson Rowe Ltd /12/ /03/2007 Waiver CASS Interactive Investor Trading Limited /12/ /03/2007 Waiver CASS J M Finn & Co Ltd /07/ /10/2007 Waiver CASS Marex Financial Limited /02/2006 Waiver CASS National Westminster Bank Plc /05/ /04/2007 Modification CASS National Westminster Bank Plc /05/ /10/2007 Modification CASS National Westminster Bank Plc /11/ /03/2008 Modification CASS National Westminster Bank Plc /04/ /12/2008 Modification CASS Nottingham Oddfellows Assurance Friendly Society Limited /06/ /12/2008 Modification CASS Pershing Securities Ltd /01/ /04/2006 Waiver CASS Pershing Securities Ltd /10/ /01/2007 Waiver CASS Pilling & Co LP /04/ /04/2007 Modification CASS Pilling & Co LP /05/ /10/2007 Modification 2 of 22
3 CASS Pilling & Co LP /04/ /12/2008 Modification CASS Platform Securities LLP /01/ /04/2006 Waiver CASS Platform Securities LLP /12/ /03/2007 Waiver CASS Premier Fund Managers Ltd /01/ /04/2006 Modification CASS Principal Asset Management Limited /09/ /12/2004 Waiver CASS Refco Overseas Ltd /02/ /05/2006 Waiver CASS Santander ISA Managers Limited /05/ /04/2007 Modification CASS Santander ISA Managers Limited /05/ /10/2007 Modification CASS Santander ISA Managers Limited /04/ /12/2008 Modification CASS Scottish Friendly Asset Managers Limited /04/ /04/2007 Modification CASS Scottish Friendly Asset Managers Limited /05/ /10/2007 Modification CASS Scottish Friendly Asset Managers Limited /04/ /12/2008 Modification CASS Sky Capital UK Limited /07/ /10/2007 Waiver CASS Tesco Personal Finance PLC /11/ /03/2008 Modification CASS Tesco Personal Finance PLC /04/ /12/2008 Modification CASS The Rechabite Friendly Society Limited /05/ /10/2007 Modification CASS The Rechabite Friendly Society Limited /03/ /12/2008 Modification CASS The Royal Bank of Scotland Plc /09/ /12/2004 Waiver CASS The Royal Bank of Scotland Plc /05/ /04/2007 Modification CASS The Royal Bank of Scotland Plc /05/ /10/2007 Modification CASS The Royal Bank of Scotland Plc /11/ /03/2008 Modification CASS The Royal Bank of Scotland Plc /04/ /12/2008 Modification CASS The Schoolteachers Friendly Society /04/ /04/2007 Modification CASS The Schoolteachers Friendly Society /05/ /10/2007 Modification CASS The Schoolteachers Friendly Society /11/ /03/2008 Modification CASS The Schoolteachers Friendly Society /04/ /12/2008 Modification CASS The Share Centre Limited /04/ /04/2007 Modification CASS The Share Centre Limited /05/ /10/2007 Modification CASS The Share Centre Limited /04/ /12/2008 Modification 3 of 22
4 CASS Ulster Bank Ltd /05/ /04/2007 Modification CASS Ulster Bank Ltd /05/ /10/2007 Modification CASS Ulster Bank Ltd /11/ /03/2008 Modification CASS Ulster Bank Ltd /04/ /12/2008 Modification CASS W DEB MVL Plc /10/ /01/2007 Waiver CASS Walker Crips Stockbrokers Ltd /04/2004 Modification CASS AIB Investment Management Limited /01/2004 Waiver CASS American Express Financial Services Europe Limited /03/ /06/2006 Waiver CASS Barratt & Cooke /07/ /10/2005 Waiver CASS Barratt & Cooke Limited /07/ /10/2005 Waiver CASS BNP Paribas Fund Services UK Limited /04/ /07/2005 Waiver CASS BNY Mellon Fund Managers Limited /09/ /12/2005 Waiver CASS Capita Financial Managers Limited /12/ /03/2007 Waiver CASS Cazenove Capital Management Limited /07/ /10/2006 Waiver CASS City Financial Investment Company Limited /11/ /02/2007 Waiver CASS Forester Fund Management Limited /04/ /04/2007 Modification CASS Forester Fund Management Limited /05/ /10/2007 Modification CASS Forester Fund Management Limited /11/ /10/2012 Modification CASS HBOS Investment Fund Managers Limited /05/ /04/2007 Modification CASS HBOS Investment Fund Managers Limited /05/ /10/2007 Modification CASS HBOS Investment Fund Managers Limited /04/ /12/2008 Modification CASS J.P. Morgan Cazenove Limited /07/ /10/2006 Waiver CASS Lloyds Bank PLC /10/2004 Modification CASS Marks & Spencer Financial Services Plc /02/ /05/2008 Waiver CASS Marks & Spencer Savings and Investments Ltd /02/ /05/2008 Waiver CASS Marks & Spencer Unit Trust Management Limited /02/ /05/2008 Waiver CASS Morgan Stanley Investment Management Limited /02/ /05/2006 Modification CASS National Westminster Bank Plc /05/ /04/2007 Modification CASS National Westminster Bank Plc /05/ /10/2007 Modification 4 of 22
5 CASS National Westminster Bank Plc /11/ /03/2008 Modification CASS National Westminster Bank Plc /04/ /12/2008 Modification CASS Neptune Investment Management Limited /08/ /11/2005 Modification CASS Neptune Investment Management Limited /01/ /04/2006 Waiver CASS Newton Investment Management Ltd /09/ /12/2005 Waiver CASS Nottingham Oddfellows Assurance Friendly Society Limited /06/ /12/2008 Modification CASS Pilling & Co LP /04/ /04/2007 Modification CASS Pilling & Co LP /05/ /10/2007 Modification CASS Pilling & Co LP /04/ /12/2008 Modification CASS Premier Portfolio Managers Limited /08/ /11/2005 Modification CASS Quilter Fund Management Ltd /08/ /11/2005 Waiver CASS Refco Overseas Ltd /02/ /05/2006 Waiver CASS Ruffer LLP /03/ /06/2004 Modification CASS Santander ISA Managers Limited /05/ /04/2007 Modification CASS Santander ISA Managers Limited /05/ /10/2007 Modification CASS Santander ISA Managers Limited /04/ /12/2008 Modification CASS Scottish Friendly Asset Managers Limited /04/ /04/2007 Modification CASS Scottish Friendly Asset Managers Limited /05/ /10/2007 Modification CASS Scottish Friendly Asset Managers Limited /04/ /12/2008 Modification CASS TD Direct Investing (Europe) Limited /03/ /06/2006 Modification CASS Tesco Personal Finance PLC /11/ /03/2008 Modification CASS Tesco Personal Finance PLC /04/ /12/2008 Modification CASS The Rechabite Friendly Society Limited /05/ /10/2007 Modification CASS The Rechabite Friendly Society Limited /03/ /12/2008 Modification CASS The Royal Bank of Scotland Plc /05/ /04/2007 Modification CASS The Royal Bank of Scotland Plc /05/ /10/2007 Modification CASS The Royal Bank of Scotland Plc /11/ /03/2008 Modification CASS The Royal Bank of Scotland Plc /04/ /12/2008 Modification CASS The Schoolteachers Friendly Society /04/ /04/2007 Modification 5 of 22
6 CASS The Schoolteachers Friendly Society /05/ /10/2007 Modification CASS The Schoolteachers Friendly Society /11/ /03/2008 Modification CASS The Schoolteachers Friendly Society /04/ /12/2008 Modification CASS The Share Centre Limited /04/ /04/2007 Modification CASS The Share Centre Limited /05/ /10/2007 Modification CASS The Share Centre Limited /04/ /12/2008 Modification CASS Ulster Bank Ltd /05/ /04/2007 Modification CASS Ulster Bank Ltd /05/ /10/2007 Modification CASS Ulster Bank Ltd /11/ /03/2008 Modification CASS Ulster Bank Ltd /04/ /12/2008 Modification CASS (1) A J Bell Securities Limited /01/ /04/2006 Modification CASS (1) A J Bell Securities Limited /12/ /03/2007 Waiver CASS (1) Abbey Stockbrokers Limited /10/ /10/2007 Waiver CASS (1) Aberdeen Asset Management Funds Limited /10/ /01/2005 Waiver CASS (1) Aberdeen Asset Managers Limited /08/ /08/2006 Waiver CASS (1) Aberdeen Asset Managers Limited /10/ /01/2006 Waiver CASS (1) Aberdeen Asset Managers Limited /02/ /05/2007 Modification CASS (1) Aberdeen Fund Management Limited /10/ /01/2005 Waiver CASS (1) Alliance Trust Savings Limited /02/ /05/2006 Waiver CASS (1) Alliance Trust Savings Limited /01/ /04/2007 Waiver CASS (1) Artemis Fund Managers Limited /05/ /08/2005 Waiver CASS (1) Artemis Strategic Asset Management Limited /05/ /08/2005 Waiver CASS (1) Avalon Investment Services Limited /09/ /12/2004 Modification CASS (1) Baillie Gifford Savings Management Limited /02/ /05/2005 Modification CASS (1) Banque Internationale a Luxembourg /08/ /11/2005 Waiver CASS (1) BFS Investments Plc /01/ /04/2006 Waiver CASS (1) Brooks MacDonald Asset Management (Tunbridge Wells) Limited /05/ /08/2008 Waiver CASS (1) Butterfield Bank (UK) Limited /09/ /12/2004 Waiver CASS (1) Capita Financial Managers Limited /01/ /04/2006 Modification 6 of 22
7 CASS (1) Capita Financial Managers Limited /12/ /03/2008 Waiver CASS (1) Cazenove Capital Management Limited /06/ /09/2007 Waiver CASS (1) Cazenove Investment Fund Management Limited /06/ /09/2007 Waiver CASS (1) Close Asset Management (UK) Limited /09/ /12/2004 Waiver CASS (1) Close Finsbury Asset Management Limited /09/ /12/2006 Waiver CASS (1) Close Investments Limited /09/ /12/2006 Waiver CASS (1) Computershare Investor Services Plc /05/ /05/2008 Waiver CASS (1) Credit Suisse Asset Management Funds (UK) Limited /05/ /08/2005 Modification CASS (1) Credit Suisse Asset Management Limited /05/ /08/2005 Waiver CASS (1) Deutsche Private Asset Management Limited /03/ /06/2006 Waiver CASS (1) Dexia EFM Limited /08/ /11/2005 Waiver CASS (1) Dexia IIM Limited /08/ /11/2005 Waiver CASS (1) Dexia PAM Limited /08/ /11/2005 Waiver CASS (1) Direct Line Unit Trusts Limited /11/ /02/2008 Waiver CASS (1) Direct Sharedeal Ltd /07/ /10/2007 Waiver CASS (1) Edinburgh Fund Managers Plc /04/ /07/2004 Waiver CASS (1) Edinburgh Fund Managers Plc /08/ /08/2006 Waiver CASS (1) Edinburgh Fund Managers Plc /10/ /01/2006 Waiver CASS (1) Egg Investments Limited /12/ /03/2005 Waiver CASS (1) Financial Administration Services Limited /12/ /03/2005 Waiver CASS (1) Financial Administration Services Limited /07/ /10/2005 Waiver CASS (1) First State Investment Management (UK) Limited /02/ /05/2005 Waiver CASS (1) First State Investments (UK) Limited /12/ /03/2007 Waiver CASS (1) First State Investments (UK) Limited /12/ /03/2008 Waiver CASS (1) Forester Investments Limited /11/ /02/2007 Waiver CASS (1) Gartmore Investment Limited /10/ /01/2006 Modification CASS (1) Gartmore Investment Limited /02/ /05/2007 Waiver CASS (1) Halifax Share Dealing Limited /12/ /03/2007 Waiver CASS (1) Henderson Global Investors Limited /04/ /07/2005 Waiver 7 of 22
8 CASS (1) Henderson Global Investors Limited /12/ /02/2007 Waiver CASS (1) Henderson Rowe Ltd /12/ /03/2007 Waiver CASS (1) IM Asset Management Ltd /02/ /05/2005 Waiver CASS (1) Interactive Investor Trading Limited /12/ /03/2007 Waiver CASS (1) Investec Management Ltd /01/ /04/2007 Waiver CASS (1) Investec Wealth & Investment Limited /09/ /12/2004 Waiver CASS (1) Irwin Mitchell /02/ /05/2005 Waiver CASS (1) J M Finn & Co Ltd /07/ /10/2007 Waiver CASS (1) J.P. Morgan Cazenove Limited /06/ /09/2007 Waiver CASS (1) KBL Investment Funds Limited /08/ /08/2005 Modification CASS (1) Lazard Fund Managers Limited /07/ /10/2005 Modification CASS (1) Legal & General (Portfolio Management Services) Ltd /10/ /01/2005 Waiver CASS (1) Lloyds Bank PLC /02/ /02/2008 Waiver CASS (1) Lloyds TSB Stockbrokers Ltd /10/ /07/2005 Modification CASS (1) Marex Financial Limited /02/2006 Waiver CASS (1) Martin Currie Investment Management Ltd /02/ /05/2006 Waiver CASS (1) NCL Investments Limited /09/ /12/2005 Waiver CASS (1) Pershing Securities Ltd /07/ /10/2004 Waiver CASS (1) Pershing Securities Ltd /01/ /04/2006 Waiver CASS (1) Pershing Securities Ltd /10/ /01/2007 Waiver CASS (1) Platform Securities LLP /01/ /04/2006 Waiver CASS (1) Platform Securities LLP /12/ /03/2007 Waiver CASS (1) Premier Fund Managers Ltd /01/ /04/2006 Modification CASS (1) Principal Asset Management Limited /09/ /12/2004 Waiver CASS (1) RBS Collective Investment Funds Limited /11/ /02/2008 Waiver CASS (1) RBS Financial Products Plc /09/ /12/2004 Waiver CASS (1) Santander ISA Managers Limited /10/ /10/2007 Waiver CASS (1) Sky Capital UK Limited /07/ /10/2007 Waiver CASS (1) Standard Life Savings Limited /03/ /06/2006 Waiver 8 of 22
9 CASS (1) The Royal Bank of Scotland Plc /09/ /12/2004 Waiver CASS (1) W DEB MVL Plc /10/ /01/2007 Waiver CASS (1) Walker Crips Group Plc /04/2004 Waiver CASS (1) Walker Crips Stockbrokers Ltd /04/2004 Modification CASS (1) Waverton Investment Management Limited /10/ /10/2007 Waiver CASS (1) Witan Investment Services Limited /12/ /02/2007 Waiver CASS (1) Woolwich Plan Managers Limited /11/ /02/2005 Waiver CASS (1) Woolwich Unit Trust Managers Ltd /11/ /02/2005 Waiver CASS Apax Partners UK Ltd /10/ /10/2012 Modification CASS Change Capital Investment Management LLP /07/2006 Modification CASS Change Capital Investment Management LLP /10/ /10/2012 Modification CASS Change Capital Partners LLP /07/2006 Modification CASS Graphite Capital Management LLP /12/ /12/2011 Modification CASS Indigo Capital LLP /07/ /07/2012 Modification CASS Indigo Capital Partners Limited /03/2004 Waiver CASS Citibank N.A /11/ /11/2009 Modification CASS Citibank N.A /11/ /11/2009 Modification CASS Capita Life & Pensions Regulated Services Limited /06/2004 Modification CASS Capita Life & Pensions Regulated Services Limited /02/ /02/2006 Modification CASS Capita Life & Pensions Regulated Services Limited /02/ /02/2008 Modification CASS Legal & General Investment Management Ltd /11/ /11/2005 Modification CASS Legal & General Investment Management Ltd /11/ /11/2006 Modification CASS Legal & General Investment Management Ltd /10/ /10/2009 Modification CASS Northern Trust Global Investments Limited /03/ /03/2005 Waiver CASS Northern Trust Global Investments Limited /03/ /03/2006 Modification CASS Northern Trust Global Investments Limited /03/ /03/2009 Modification CASS Northern Trust Global Services Ltd /03/ /03/2005 Waiver CASS Northern Trust Global Services Ltd /03/ /03/2006 Modification CASS Northern Trust Global Services Ltd /03/ /03/2009 Modification 9 of 22
10 CASS The Northern Trust Company /03/ /03/2005 Waiver CASS The Northern Trust Company /03/ /03/2006 Modification CASS The Northern Trust Company /03/ /03/2009 Modification CASS Aberdeen Fund Managers Limited /09/ /12/2008 Modification CASS AIB Investment Management Limited /01/2004 Waiver CASS American Express Financial Services Europe Limited /03/ /06/2006 Waiver CASS Barratt & Cooke /07/ /10/2005 Waiver CASS Barratt & Cooke Limited /07/ /10/2005 Waiver CASS Direct Sharedeal Ltd /07/ /10/2007 Waiver CASS Edinburgh Portfolio Limited /09/ /12/2008 Modification CASS Henderson Unit Trusts Limited /07/ /10/2008 Waiver CASS J.P. Morgan Cazenove Limited /07/ /10/2006 Waiver CASS Lloyds TSB Stockbrokers Ltd /10/ /07/2005 Modification CASS M&G Alternatives Investment Management Limited /10/ /01/2008 Waiver CASS Marks & Spencer Financial Services Plc /02/ /05/2008 Waiver CASS Marks & Spencer Savings and Investments Ltd /02/ /05/2008 Waiver CASS Marks & Spencer Unit Trust Management Limited /02/ /05/2008 Waiver CASS Martin Currie Investment Management Ltd /02/ /05/2006 Waiver CASS Pershing Securities Ltd /01/ /04/2006 Waiver CASS Refco Overseas Ltd /02/ /05/2006 Waiver CASS Sky Capital UK Limited /07/ /10/2007 Waiver CASS Societe Generale Securities Services UK Limited /10/ /10/2005 Modification CASS UBS (2003) Limited /04/ /04/2009 Modification CASS UBS International UK Limited /04/ /04/2009 Modification CASS (2) Aberdeen Asset Management Funds Limited /10/ /01/2005 Waiver CASS (2) Aberdeen Fund Management Limited /10/ /01/2005 Waiver CASS (2) Artemis Fund Managers Limited /05/ /08/2005 Waiver CASS (2) Artemis Strategic Asset Management Limited /05/ /08/2005 Waiver CASS (2) BFS Investments Plc /01/ /04/2006 Waiver 10 of 22
11 CASS (2) BNP Paribas Fund Services UK Limited /04/ /07/2005 Waiver CASS (2) BNY Mellon Fund Managers Limited /09/ /12/2005 Waiver CASS (2) Credit Lyonnais Rouse Limited /04/ /07/2005 Modification CASS (2) Credit Suisse Asset Management Unit Managers Limited /07/2004 Waiver CASS (2) Deutsche Private Asset Management Limited /03/ /06/2006 Waiver CASS (2) Direct Line Unit Trusts Limited /11/ /02/2008 Waiver CASS (2) Edinburgh Fund Managers Plc /08/ /08/2006 Waiver CASS (2) First State Investment Management (UK) Limited /02/ /05/2005 Waiver CASS (2) First State Investments (UK) Limited /12/ /03/2007 Waiver CASS (2) First State Investments (UK) Limited /12/ /03/2008 Waiver CASS (2) Henderson Global Investors Limited /04/ /07/2005 Waiver CASS (2) Henderson Global Investors Limited /12/ /02/2007 Waiver CASS (2) Henderson Rowe Ltd /12/ /03/2007 Waiver CASS (2) Investec Wealth & Investment Limited /09/ /12/2004 Waiver CASS (2) Irwin Mitchell /02/ /05/2005 Waiver CASS (2) J.P. Morgan Cazenove Limited /06/ /09/2007 Waiver CASS (2) Morgan Stanley Investment Management Limited /02/ /05/2006 Modification CASS (2) RBS Collective Investment Funds Limited /11/ /02/2008 Waiver CASS (2) RBS Financial Products Plc /09/ /12/2004 Waiver CASS (2) W DEB MVL Plc /10/ /01/2007 Waiver CASS (2) Walker Crips Group Plc /04/2004 Waiver CASS (2) Witan Investment Services Limited /12/ /02/2007 Waiver CASS AIB Investment Management Limited /01/ /06/2007 Modification CASS AXA Portfolio Services Limited /12/2004 Modification CASS Credit Suisse AG /07/ /06/2008 Modification CASS Credit Suisse International /07/ /06/2008 Modification CASS Credit Suisse Securities (Europe) Ltd /07/ /06/2008 Modification CASS Goldman Sachs International /01/ /04/2006 Modification CASS Goldman Sachs International /06/ /06/2008 Modification 11 of 22
12 CASS Goldman Sachs International /08/ /08/2008 Modification CASS Lehman Brothers Inc /02/ /02/2010 Modification CASS Lehman Brothers International (Europe) /02/ /02/2010 Modification CASS T U Fund Managers Ltd /06/ /09/2006 Waiver CASS Aberdeen Fund Managers Limited /09/ /12/2008 Modification CASS Charterhouse General Partners (IX) Limited /05/ /05/2012 Modification CASS Edinburgh Portfolio Limited /09/ /12/2008 Modification CASS Goldman Sachs International /01/ /04/2006 Modification CASS Goldman Sachs International /06/ /06/2008 Modification CASS Goldman Sachs International /08/ /08/2008 Modification CASS Lehman Brothers Inc /02/ /02/2010 Modification CASS Lehman Brothers International (Europe) /02/ /02/2010 Modification CASS Morgan Stanley & Co. International Plc /04/ /04/2010 Modification CASS Morgan Stanley Securities Ltd /04/ /04/2010 Modification CASS (1) Credit Suisse AG /07/ /06/2008 Modification CASS (1) Credit Suisse International /07/ /06/2008 Modification CASS (1) Credit Suisse Securities (Europe) Ltd /07/ /06/2008 Modification CASS (1) J.P. Morgan Securities plc /07/ /06/2008 Modification CASS (1) Lehman Brothers Inc /09/ /04/2006 Modification CASS (1) Lehman Brothers International (Europe) /09/ /04/2006 Modification CASS (1) Royal London Savings Limited /03/ /10/2007 Modification CASS (1) SPARK Venture Management Limited /11/ /11/2008 Modification CASS (1) UBS (2003) Limited /08/ /08/2008 Modification CASS (1) UBS (2003) Limited /08/ /08/2008 Modification CASS (1) UBS International UK Limited /08/ /08/2008 Modification CASS (1) UBS International UK Limited /08/ /08/2008 Modification CASS (1) UBS Securities Limited /08/ /08/2008 Modification CASS (5) Dashwood Brewer & Phipps Ltd /04/ /04/2010 Modification CASS (5) Price Forbes & Partners Limited /09/ /09/2009 Modification 12 of 22
13 CASS Swinton Group Ltd /01/ /10/2005 Waiver CASS Kerry London Limited /11/ /11/2005 Modification CASS Marsh Ltd /02/ /05/2011 Modification CASS PLLS Ltd /04/ /07/2012 Modification CASS Woodstock Insurance Brokers Limited /12/ /06/2013 Modification CASS (2) Argyll Insurance Services Ltd /09/ /12/2010 Waiver CASS (2) Benfield Limited /09/ /12/2009 Waiver CASS (2) Blake Marston Priest Insurance Consultants Ltd /03/ /06/2010 Waiver CASS (2) Choicequote Insurance Services Ltd /03/ /06/2015 Modification CASS (2) Clarke Roxburgh Insurance Brokers Limited /09/ /12/2010 Waiver CASS (2) Davis Corporate Risks Ltd /03/ /06/2010 Waiver CASS (2) FirstCity Partnership Limited /05/ /08/2010 Waiver CASS (2) John Lampier & Son Ltd /09/ /12/2010 Waiver CASS (2) Layton Blackham Insurance Brokers Ltd /03/ /06/2010 Waiver CASS (2) Layton Blackham Underwriting Ltd /03/ /06/2010 Waiver CASS (2) Manson Insurance Brokers Limited /09/ /12/2010 Waiver CASS (2) Marsh Brokers Limited /10/ /01/2011 Modification CASS (2) Nargold Limited /07/ /10/2010 Waiver CASS (2) Neville Insurance Consultants Ltd /03/ /06/2010 Waiver CASS (2) SBJ UK Limited /03/ /06/2010 Waiver CASS (2) Stuart Alexander Limited /03/ /06/2010 Waiver CASS R (2) The Insurance Partnership Services Ltd /09/ /12/2015 Modification CASS FirstCity Partnership Limited /06/ /06/2011 Modification CASS NDF Administration Limited /10/ /10/2010 Modification CASS (2) NDF Administration Limited /11/ /05/2010 Modification CASS BPS Insure Limited /05/ /05/2005 Modification CASS FirstCity Partnership Limited /06/ /06/2011 Modification CASS NDF Administration Limited /10/ /10/2010 Modification CASS HSBC Bank Plc /06/ /02/2016 Waiver 13 of 22
14 CASS R Clydesdale Bank Plc /05/ /07/2015 Modification CASS 6.2.5R HSBC Bank Plc /02/ /08/2016 Modification CASS Capita Life & Pensions Regulated Services Limited /09/ /09/2014 Modification CASS Capita Life & Pensions Regulated Services Limited /08/ /08/2015 Modification CASS Lehman Brothers International (Europe) /10/ /10/2015 Modification CASS Family Equity Plan Limited /09/ /03/2012 Modification CASS (1) Family Equity Plan Limited /06/ /03/2012 Modification CASS (10) Cantor Fitzgerald Europe /02/ /05/2014 Modification CASS Arc Capital And Income Plc /01/ /02/2010 Modification CASS MF Global UK Limited /06/ /10/2017 Modification CASS NDF Administration Limited /10/ /10/2010 Modification CASS NDF Administration Limited /10/ /11/2009 Waiver CASS NDF Administration Limited /11/ /05/2010 Modification CASS NDF Administration Limited /10/ /10/2010 Modification CASS (R) Jubilee Financial Products LLP /02/ /02/2017 Modification CASS Lehman Brothers International (Europe) /10/ /10/2011 Modification CASS Lehman Brothers International (Europe) /10/ /10/2012 Modification CASS Lehman Brothers International (Europe) /10/ /10/2013 Modification CASS Lehman Brothers International (Europe) /10/ /10/2015 Modification CASS Aberdeen Asset Managers Limited /09/ /12/2008 Modification CASS Aberdeen Asset Managers Limited /09/ /12/2011 Modification CASS Aberdeen Asset Managers Limited /11/ /02/2013 Modification CASS Artemis Investment Management LLP /12/ /03/2014 Modification CASS AXA Framlington Investment Management Ltd /05/ /08/2009 Waiver CASS AXA Investment Managers UK Ltd /05/ /05/2011 Modification CASS Canaccord Genuity Limited /01/ /04/2013 Modification CASS Cazenove Capital Management Limited /06/ /09/2014 Modification CASS Citigroup Global Markets U.K. Equity Limited /01/ /05/2013 Modification CASS Extrabet Ltd /10/ /01/2013 Modification 14 of 22
15 CASS Family Equity Plan Limited /03/ /06/2012 Waiver CASS Gartmore Investment Limited /06/ /09/2011 Modification CASS GFT Global Markets UK Limited /02/ /05/2014 Modification CASS Halifax Share Dealing Limited /10/ /01/2012 Modification CASS Halifax Share Dealing Limited /02/ /05/2015 Modification CASS Intrinsic Cirilium Investment Company Limited /04/ /06/2010 Waiver CASS J.P. Morgan Cazenove Limited /06/ /09/2011 Modification CASS Jupiter Asset Management Limited /08/ /11/2014 Modification CASS KBC Financial Products UK Limited /09/ /03/2014 Modification CASS Legal & General (Portfolio Management Services) Ltd /09/ /12/2014 Waiver CASS Legal & General (Portfolio Management Services) Ltd /03/ /06/2015 Modification CASS Liverpool Victoria Portfolio Managers Limited /08/ /11/2014 Modification CASS MF Global Securities Limited /02/ /05/2010 Modification CASS Murray Johnstone Ltd /09/ /12/2008 Modification CASS NDF Administration Limited /03/ /06/2011 Modification CASS Newedge Group /11/ /11/2011 Modification CASS Optimum Investment Management Limited /06/ /09/2011 Modification CASS Pershing Securities Ltd /01/ /04/2013 Modification CASS Pershing Securities Ltd /03/ /06/2013 Modification CASS Pershing Securities Ltd /04/ /07/2013 Modification CASS Pershing Securities Ltd /05/ /08/2013 Modification CASS Pershing Securities Ltd /09/ /12/2013 Waiver CASS Pershing Securities Ltd /05/ /08/2014 Modification CASS Pershing Securities Ltd /07/ /07/2015 Modification CASS Religare Capital Markets (Europe) Limited /06/ /09/2013 Modification CASS Santander Asset Management UK Limited /05/ /08/2015 Waiver CASS Scottish Friendly Insurance Services Ltd /08/ /11/2012 Modification CASS Talos Securities Limited /12/ /03/2015 Modification CASS Threadneedle Navigator ISA Manager Limited /05/ /08/2014 Modification 15 of 22
16 CASS Threadneedle Unit Trust Manager Limited /05/ /08/2014 Modification CASS (1) Aberdeen Asset Managers Limited /02/ /05/2009 Modification CASS (2) AXA Investment Managers GS Limited /10/ /01/2014 Modification CASS (2) AXA Investment Managers UK Ltd /10/ /01/2014 Modification CASS (2) AXA Portfolio Services Limited /02/ /05/2014 Modification CASS (2) Beaufort Securities Limited /08/ /10/2009 Waiver CASS (2) BNP Paribas Fund Services UK Limited /11/ /02/2008 Waiver CASS (2) BNP Paribas Fund Services UK Limited /12/ /02/2009 Waiver CASS (2) Close Investments Limited /03/ /06/2008 Waiver CASS (2) Close Investments Limited /04/ /07/2009 Waiver CASS (2) Close Wealth Management Limited /04/ /07/2009 Waiver CASS (2) Credit Suisse Asset Management Funds (UK) Limited /07/ /10/2009 Waiver CASS (2) Daniel Stewart & Company Plc /09/ /12/2010 Waiver CASS (2) Direct Sharedeal Ltd /10/ /01/2011 Waiver CASS (2) E*Trade Securities Limited /04/ /07/2010 Waiver CASS (2) First State Investments (UK) Limited /07/ /10/2008 Waiver CASS (2) Gillespie MacAndrew LLP /11/ /02/2012 Modification CASS (2) GNI Ltd /10/ /01/2010 Modification CASS (2) KBL Investment Funds Limited /01/ /04/2010 Waiver CASS (2) Legal & General (Portfolio Management Services) Ltd /04/ /07/2011 Waiver CASS (2) Legal & General (Unit Trust Managers) Limited /04/ /07/2011 Waiver CASS (2) Legal & General (Unit Trust Managers) Limited /05/ /08/2011 Modification CASS (2) Lindsays /09/ /11/2009 Waiver CASS (2) Liverpool Victoria Portfolio Managers Limited /11/ /01/2012 Modification CASS (2) Murray Johnstone Ltd /02/ /05/2009 Modification CASS (2) Pershing Securities Ltd /07/ /10/2008 Waiver CASS (2) Pershing Securities Ltd /11/ /02/2009 Waiver CASS (2) Pershing Securities Ltd /09/ /12/2009 Waiver CASS (2) Pershing Securities Ltd /01/ /04/2010 Waiver 16 of 22
17 CASS (2) Pershing Securities Ltd /02/ /05/2010 Waiver CASS (2) Pershing Securities Ltd /08/ /11/2012 Modification CASS (2) RAB Capital Limited /08/ /11/2008 Waiver CASS (2) RCM (UK) Limited /02/ /05/2008 Waiver CASS (2) Sarasin Investment Management Ltd /01/ /03/2008 Waiver CASS (2) Singer & Friedlander Capital Management Limited /03/ /06/2010 Waiver CASS (2) Singer & Friedlander Investment Management Ltd /01/ /04/2009 Waiver CASS (2) TAM Asset Management Ltd /11/ /02/2008 Waiver CASS (2) TAM Asset Management Ltd /12/ /03/2008 Waiver CASS (2) Teathers Limited /11/ /02/2009 Waiver CASS (2) Thornhill Investment Management Limited /11/ /02/2011 Modification CASS Credit Suisse Asset Management Limited /02/ /08/2012 Waiver CASS Credit Suisse Asset Management Limited /02/ /08/2012 Waiver CASS J.P. Morgan Cazenove Limited /06/ /09/2011 Modification CASS Aberdeen Asset Managers Limited /09/ /12/2008 Modification CASS Aberdeen Asset Managers Limited /07/ /04/2015 Modification CASS AXA Investment Managers UK Ltd /05/ /05/2011 Modification CASS BNY Mellon Fund Managers Limited /07/ /07/2016 Modification CASS Broadstone Pensions & Investments Ltd /04/ /10/2013 Modification CASS Cheuvreux International Limited /11/ /04/2014 Modification CASS Christchurch Investment Management Limited /09/ /03/2013 Modification CASS CIBC World Markets Plc /11/ /02/2015 Modification CASS Clydesdale Bank Plc /05/ /07/2015 Modification CASS Credit Suisse AG /11/ /10/2009 Modification CASS Credit Suisse Asset Management Limited /02/ /08/2012 Waiver CASS Credit Suisse Asset Management Limited /10/ /04/2014 Modification CASS Credit Suisse International /11/ /10/2009 Modification CASS Credit Suisse Securities (Europe) Ltd /11/ /10/2009 Modification CASS E*Trade Securities Limited /10/ /06/2015 Modification 17 of 22
18 CASS GE Life Fund Management Limited /07/ /01/2013 Modification CASS Generali Portfolio Management (UK) Limited /02/ /08/2014 Modification CASS Goldman Sachs International /11/ /11/2009 Modification CASS Goldman Sachs International /11/ /11/2009 Modification CASS Henderson Global Investors Limited /04/ /06/2010 Modification CASS Insight Investment Funds Management Ltd /06/ /09/2013 Waiver CASS Insight Investment Funds Management Ltd /06/ /09/2013 Modification CASS J.P. Morgan Cazenove Limited /06/ /09/2011 Modification CASS Methuselah Life Markets Limited /09/ /03/2013 Modification CASS MF Global Securities Limited /02/ /05/2010 Modification CASS MLC Saving Limited /06/ /09/2009 Modification CASS MLC Trust Management Company Limited /06/ /09/2009 Modification CASS Morgan Stanley & Co. International Plc /11/ /10/2009 Modification CASS Morgan Stanley & Co. International Plc /03/ /03/2012 Modification CASS Morgan Stanley Securities Ltd /11/ /10/2009 Modification CASS Morgan Stanley Securities Ltd /03/ /03/2012 Modification CASS Murray Johnstone Ltd /09/ /12/2008 Modification CASS Royal London Savings Limited /06/ /06/2013 Modification CASS Schroder Investments Limited /12/ /03/2012 Modification CASS Schroder Unit Trusts Limited /12/ /03/2012 Modification CASS Scottish Amicable ISA Managers Limited /12/ /05/2014 Modification CASS Threadneedle Navigator ISA Manager Limited /05/ /11/2014 Modification CASS Threadneedle Portfolio Services Limited /05/ /12/2011 Modification CASS Threadneedle Unit Trust Manager Limited /05/ /11/2014 Modification CASS UBS (2003) Limited /11/ /11/2009 Modification CASS UBS International UK Limited /11/ /11/2009 Modification CASS UBS Securities Limited /11/ /11/2009 Modification CASS (1) Aberdeen Asset Managers Limited /02/ /05/2009 Modification CASS (1) Aberdeen Fund Managers Limited /02/ /05/2009 Modification 18 of 22
19 CASS (1) Cazenove Investment Fund Management Limited /11/ /02/2015 Modification CASS (1) Edinburgh Portfolio Limited /02/ /05/2009 Modification CASS (1) FIL Investments International /03/ /06/2012 Modification CASS (1) Financial Administration Services Limited /03/ /09/2013 Modification CASS (1) Gartmore Investment Limited /11/ /11/2011 Modification CASS (1) GNI Ltd /10/ /01/2010 Modification CASS (1) Goldman Sachs International /11/ /11/2011 Modification CASS (1) KBL Investment Funds Limited /11/ /11/2011 Modification CASS (1) Lehman Brothers Inc /11/ /10/2009 Modification CASS (1) Lehman Brothers International (Europe) /11/ /10/2009 Modification CASS (1) Methuselah Life Markets Limited /02/ /08/2013 Modification CASS (1) Montague Place Custody Services /11/ /11/2011 Modification CASS (1) Murray Johnstone Ltd /02/ /05/2009 Modification CASS (1) Nomura International Plc /09/ /09/2010 Modification CASS (1) Pershing Securities Ltd /01/ /01/2014 Waiver CASS (1) Royal London Savings Limited /08/ /08/2013 Modification CASS (1) Singer & Friedlander Capital Management Limited /05/ /11/2013 Modification CASS (1) Singer & Friedlander Investment Management Ltd /05/ /11/2013 Modification CASS (1) SVM Asset Management Limited /06/ /12/2013 Modification CASS (1) UBS (2003) Limited /11/ /11/2009 Modification CASS (1) UBS International UK Limited /11/ /11/2009 Modification CASS Credit Suisse Asset Management Limited /02/ /08/2012 Waiver CASS R Ignis Investment Services Limited /06/ /09/2014 Modification CASS R (2) Talos Securities Limited /03/ /05/2015 Modification CASS E (1) Clydesdale Bank Plc /05/ /07/2015 Modification CASS E E*Trade Securities Limited /05/ /11/2015 Modification CASS E Iona Capital Ltd /07/ /12/2014 Modification CASS E Newton Investment Management Ltd /11/ /02/2015 Modification CASS E (1) IG Index Limited /10/ /03/2015 Modification 19 of 22
20 CASS E (1) IG Markets Limited /10/ /03/2015 Modification CASS Capita Life & Pensions Regulated Services Limited /09/ /09/2014 Modification CASS Capita Life & Pensions Regulated Services Limited /08/ /08/2015 Modification CASS Capita Life & Pensions Regulated Services Limited /09/ /09/2014 Modification CASS Capita Life & Pensions Regulated Services Limited /08/ /08/2015 Modification CASS Lehman Brothers International (Europe) /08/ /02/2014 Waiver CASS Lehman Brothers International (Europe) /02/ /02/2015 Waiver CASS Lehman Brothers International (Europe) /02/ /02/2016 Waiver CASS Woodside Corporate Services Limited /01/ /02/2015 Waiver CASS Woodside Corporate Services Limited /02/ /03/2015 Waiver CASS 7.4.9A (R) Woodside Corporate Services Limited /03/ /04/2015 Modification CASS NDF Administration Limited /10/ /11/2009 Waiver CASS Lehman Brothers International (Europe) /10/ /10/2009 Modification CASS M & G Financial Services Limited /11/ /02/2016 Waiver CASS Prudential Unit Trusts Limited /11/ /02/2016 Waiver CASS (2) Aberdeen Asset Fund Management Limited /09/ /12/2015 Modification CASS (2) Henderson Global Investors Limited /10/ /03/2016 Modification CASS (R) Brewin Dolphin Limited /03/ /06/2016 Modification CASS (R) Franklin Templeton Investment Management Limited /05/ /08/2016 Waiver CASS (R) Jessop Fund Managers Limited /04/ /07/2016 Modification CASS Avalon Investment Services Limited /02/ /03/2016 Modification CASS Jupiter Asset Management Limited /11/ /02/2016 Modification CASS (R) Brewin Dolphin Limited /09/ /12/2015 Waiver CASS (R) European Pensions Management Limited /06/ /07/2016 Modification CASS (R) Gartmore Investment Limited /11/ /03/2016 Modification CASS (R) Legg Mason Investments (Europe) Limited /06/ /09/2016 Modification CASS Gartmore Investment Limited /11/ /03/2016 Modification CASS Henderson Global Investors Limited /10/ /03/2016 Modification CASS Avalon Investment Services Limited /02/ /03/2016 Modification 20 of 22
21 CASS Aberdeen Asset Fund Management Limited /07/ /10/2015 Modification CASS Jupiter Asset Management Limited /11/ /02/2016 Modification CASS Societe Generale /04/ /07/2016 Waiver CASS Tilney Collective Management Limited /11/ /02/2016 Modification CASS (1) Smith & Williamson Investment Services Limited /08/ /11/2015 Modification CASS (R) Baillie Gifford Savings Management Limited /05/ /08/2016 Waiver CASS (R) Martin Currie Investment Management Ltd /05/ /08/2016 Modification CASS (E) Aberdeen Asset Investments Limited /07/ /10/2015 Modification CASS (R) Martin Currie Investment Management Ltd /05/ /08/2016 Modification CASS R Brewin Dolphin Limited /04/ /07/2016 Modification CASS R Citibank International Limited /10/ /01/2016 Waiver CASS R (2a) Aberdeen Multi-Manager Limited /09/ /12/2015 Modification CASS R (2a) Pershing Securities Ltd /09/ /12/2015 Modification CASS R (2a) Pershing Securities Ltd /03/ /06/2016 Modification CASS G (1) Brewin Dolphin Limited /09/ /12/2015 Waiver CASS Foundation for Credit Counselling /05/ /06/2016 Waiver CASS R European Pensions Management Limited /06/ /07/2016 Modification CASS 1A.1.1 Bridgepoint Advisers II Limited /02/ /02/2016 Modification CASS 1A.1.1 Bridgepoint Advisers Limited /02/ /02/2016 Modification CASS 1A.1.1 Core Capital Partners LLP /12/ /11/2015 Modification CASS 1A.1.1 Tejara Capital Limited /05/ /05/2015 Modification CASS 1A.1.1 Tilly Bailey & Irvine LLP /11/ /11/2015 Modification CASS 1A.1.1 (3) Newton Investment Management (North America) Limited /08/ /08/2015 Modification CASS 1A.1.1 (3) Nomura Asset Management UK Ltd /08/ /08/2015 Modification CASS 1A.1.1 (3) UK Portfolio Management Limited /08/ /08/2015 Modification CASS 1A.1.1R M&G Investment Management Limited /06/ /06/2017 Modification CASS 1A.1.1R (3) Baring Asset Management Limited /06/ /06/2015 Modification CASS 1A.1.1R (3) F&C Asset Managers Ltd /07/ /07/2016 Modification CASS 1A.1.1R (3) Jupiter Asset Management Limited /07/ /07/2017 Modification 21 of 22
22 CASS 1A.1.1R (3) M & G Financial Services Limited /06/ /06/2017 Waiver CASS 1A.1.1R (3) M&G International Investments Limited /06/ /06/2017 Modification CASS 1A.1.1R (3) Newton Investment Management Ltd /07/ /07/2016 Modification CASS 1A.1.1R (3) Threadneedle Navigator ISA Manager Limited /07/ /07/2015 Modification CASS 1A.1.1R (3) Towry Asset Management Limited /06/ /06/2015 Modification CASS 7A.2.4 (R) Worldspreads Ltd /06/ /12/2015 Modification CASS 7A.2.2R Avalon Investment Services Limited /02/ /03/2016 Modification CASS 7A.2.2R European Pensions Management Limited /06/ /07/2016 Modification 22 of 22
Legal & General Portfolio Bond Funds available through Cofunds
L&G Life Aberdeen Asia Pacific & Japan Fund L&G Life Aberdeen Asia Pacific Fund L&G Life Aberdeen Emerging Markets Fund L&G Life Aberdeen Multi-Manager Balanced Managed Fund L&G Life Aberdeen Multi-Manager
Yield figures for the UK Equity Income sector
figures for the UK Equity Income sector Name Year Code Santander Equity Income Unit Trust 15-Feb-15 2465 3.3 3.0 3.6 4.0 Schroder Income 25-Feb-15 1235 3.2 2.9 3.5 3.4 Failed 3 year test. Moved to UK All
Platform Brochure Online Support for Your Platform Account. www.capitalplatforms.com
Platform Brochure Online Support for Your Platform Account www.capitalplatforms.com Introduction The Fund Platform provides a solution offering access to an unrivalled choice of offshore mutual funds,
External manager, custodian and platform agreement list
External manager, custodian and platform list This document is for financial adviser use only. It should not be distributed to, or relied upon by, retail clients. AXA Wealth International is the brand
Sterling Investment Bond Fund specific projection rates
Sterling Investment Bond Fund specific projection rates This document lists the funds available through the Sterling Investment Bond and the fund specific projection rates used in our illustrations. Examples
The future for private client investment managers
The future for private client investment managers Thursday, 24 th March 2011 Ian Buckley Rathbone Brothers Plc The future for private client investment managers 1. Size and nature of the UK market 2. The
Adviser Guide to Investment Options and Fund Choice
For Adviser use only not approved for use with clients Adviser Guide Adviser Guide to Investment Options and Fund Choice Including: Life Funds Pension Funds Prudential International Funds Collective Funds
Global Investment Centre Fund List
Global Investment Centre Fund List The share classes available on Global Investment Centre are either legacy or clean share classes. Clean share classes will replace legacy share classes on the Global
Listado de empresas vinculadas directa o indirectamente con las ilegítimas actividades de exploración y explotación petrolera en el Atlántico Sur
Listado de empresas vinculadas directa o indirectamente con las ilegítimas actividades de exploración y explotación petrolera en el Atlántico Sur Rockhopper Exploration Banco: The Royal Bank of Scotland
UK General Insurance Competitor Tracker - Q2 2007 (Competitor Focus)
A Datamonitor Brief timely UK General Insurance Competitor Tracker - Q2 2007 (Competitor Focus) Reacting to the latest news breaking in your industry focused Publication Date: Jul-07 Product Code: primary
Sterling Investment Bond. Investment funds guide
Sterling Investment Bond Investment funds guide Contents Introduction 3 List of current investment funds by sector 4 Investment choice and flexibility 10 Fund risks 11 Managed funds 12 Multi-Managed funds
complaints data - showing individual financial businesses new cases received by the Financial Ombudsman Service from 1 Jan to 30 June 2013
complaints data - showing individual financial businesses new cases received by the Financial Ombudsman Service from 1 Jan to 30 June 2013 number of new cases - by complaint category business name business
complaints data - showing individual financial businesses new cases received by the Financial Ombudsman Service from 1 January to 30 June 2011
complaints data - showing individual financial businesses new cases received by the Financial Ombudsman Service from 1 January to 30 June 2011 number of new cases - by complaint category business name
REPORT & ACCOUNTS ASSET MANAGEMENT SURVEY
INVESTMENT MANAGEMENT ASSOCIATION REPORT & ACCOUNTS ASSET MANAGEMENT SURVEY CONTENTS 1 EXECUTIVE SUMMARY 2 2 METHODOLOGY AND DEFINITIONS 3 3 THE SURVEY 4 Industry Size Ownership Client Type Client Mandates
Sterling Investment Bond. Investment funds guide
Sterling Investment Bond Investment funds guide Contents Introduction 3 List of current investment funds by sector 4 Investment choice and flexibility 10 Fund risks 11 Managed funds 12 Multi-Managed funds
Legal & General All Stocks Gilt Index Fund LS5 UK Gilts 0.12% 0.04% 0.16% 0.08%
SELECT PORTFOLIO bond (WEALTH MANAGERS) FUND DETAILS This document shows the fund charges, Association of British Insurers (ABI) sectors and valuation spreads for the funds available on our Select Portfolio
Funds & Shares Service legacy funds list Funds where no annual custody charge will apply
SIPP ISA GIA Funds & Shares Service legacy funds list Funds where no annual custody charge will apply 30 September 2015 SIPP ISA GIA Using the legacy funds list The legacy funds list is a single reference
GESTORA NOMBRE MODO DE CONTRATACIÓN CIERRE 09:30
CIERRE 09:30 12 INVESCO GT AM PLC D 28 HSBC GLOBAL INVESTMENT FUNDS D 41 DWS INVESTMENTS D / D-1, D-3( Depende del fondo) 51 DEXIA AM LUX D 66 UBP GESTION INSTITUTIONNELLE D 70 BARING AM D 74 AXA INVESTMENT
The devere Fund Platform
The devere Fund Platform About the devere Fund Platform The devere Group, the world s largest independent financial consultancy group, has developed the devere Fund Platform, an online investment platform,
Credit Suisse Asset Management Limited UK Order Execution Policy December 2013
Credit Suisse Asset Management Limited UK Order Execution Policy December 2013 Table of Contents 1. General information about this Policy 1 2. CSAML s Core Best Execution Obligations 2 3. Placing Orders
UK Bridging Loans 2006
A Datamonitor Report timely UK Bridging Loans 2006 Publication Date: Nov-06 Product Code: Reacting to the latest news breaking in your industry focused primary research Bridging loans are short-term secured
Individual Savings Account and Investment Account. Sterling panel funds guide
Individual Savings Account and Investment Account Sterling panel funds guide Contents Introduction 3 List of current investment funds by sector 4 Investment choice and flexibility 7 Fund risks 8 Managed
Provider Share Class Name ISIN Diamond Rating
Provider Share Class Name ISIN Diamond Rating GB00B1G5TD15 5 Balanced Retail A Margetts Greystone GB00B0MTNP05 5 Managers Managers SWIP Multi-Manager Funds Marks & Spencer Unit Trust Marks & Spencer Unit
Investment alteration form
Pru Flexible Retirement Plan (Personal Pension and Income Drawdown with SIPP options) Investment alteration form Please use black ink and write in CAPITAL LETTERS or tick as appropriate. Any corrections
Short Fund Guide. Flexible Retirement Plan
Short Fund Guide Flexible Retirement Plan Introduction This short fund guide gives you a list of funds you can choose from, an indication of the potential reward and risk of each fund and information on
UK Motorcycle Insurance
A Datamonitor Brief timely UK Motorcycle Insurance Publication Date: Nov-04 Product Code: Reacting to the latest news breaking in your industry focused primary research This report is a consolidated source
Risk Mappings full listing by fund manager
Risk Mappings full listing by fund manager manager Mapping 7IM 7IM AAP Adventurous 9 7IM 7IM AAP Balanced 5 7IM 7IM AAP Income 4 7IM 7IM AAP Moderately Adventurous 7 7IM 7IM AAP Moderately Cautious 3 7IM
TABELLA DELLE VARIAZIONI DI PORTAFOGLIO I 20 MAGGIORI ACQUISTI E VENDITE PER COMPARTO (NON SOTTOPOSTI A REVISIONE CONTABILE) (valori espressi in EUR)
US COLLECTION 03-ott-14 Health Care Select Sector SPDR Fund 4.986.027 27-mar-14 Legg Mason Global Funds PLC - ClearBridge U.S. Aggressive Growth Fund 4.831.202 27-mar-14 Legg Mason Global Funds PLC - Royce
Individual Savings Account and Investment Account. Charges summary
Individual Savings Account and Investment Account Charges summary Introduction The purpose of this document is to provide you with: A description of charges Sterling ISA Managers Limited applies to its
AUTHORISED UCITS EUROPEAN COMMUNITIES (UNDERTAKINGS FOR COLLECTIVE INVESTMENT IN TRANSFERABLE SECURITIES) REGULATIONS, 2003 1
Under the powers conferred on it by the European Communities (Undertakings for Collective Investment in Transferable Securities) Regulations 2003 (S.I. No. 211of 2003), the following schemes have been
Meteor Asset Management
Meteor Asset Management Counterparty Credit Default Swap Rates 27 th January 2012 This information is for professional investors only and should not be presented to, or relied upon by, private investors.
Asset Management Competitor Tracker, Q3 2009
Brochure More information from http://www.researchandmarkets.com/reports/1124705/ Asset Management Competitor Tracker, Q3 2009 Description: This monthly tracker covers product innovation, customer targeting,
GlaxoSmithKline plc (incorporated in England and Wales with limited liability under registered number 3888792)
REGISTRATION DOCUMENT (incorporated in England and Wales with limited liability under registered number 3888792) GlaxoSmithKline Capital Inc. (incorporated in the State of Delaware with limited liability
FY 2015-16. 25-Feb-2016 Fidelity Management & Research Ltd, USA 25-Feb-2016 EastSprings 29-Feb-2016 Artisan Partners
Date Scheduled for next week Type 12-Feb-2016 Change Global Investment 12-Feb-2016 UBS Investor group - US 15-Feb-2016 - Palestra Capital - Kevin Feng 16-Feb-2016 Edelweiss AGF Asset Management Asia Ltd
Prudential sourcebook for Insurers (Waivers)
The FCA Register is at http://www.fsa.gov.uk/register/home.do INSPRU 1.1.2 UNUM Life Insurance Company of America 202914 01/05/2012 30/04/2017 Modification INSPRU 1.1.2 Unum Ltd 110408 13/04/2011 12/04/2013
Targeting NRIs in Wealth Management
A Datamonitor report Targeting NRIs in Wealth Management A ready-made global wealth management customer segment Published: Apr-06 Product Code: Providing you with: Analysis on the growing trend among financial
The use of investment companies in an RDR world
September 2014 Smith & Williamson The use of investment companies in an RDR world David Amphlett-Lewis Mickey Morrissey Citywire New Model Adviser Retreat 10 12 th September 2014 Defaqto is an independent
Welcome to ORB. London Stock Exchange s Order book for Retail Bonds
Welcome to ORB s Order book for Retail Bonds Driven by investor demand Increasing private investor focus on fixed income Bond funds saw record inflows in 2009 and 2010 Strong demand from UK private client
Long-term Care Insurance: Where are the Opportunities in Europe?
A Datamonitor Brief timely Long-term Care Insurance: Where are the Opportunities in Europe? Reacting to the latest news breaking in your industry focused Publication Date: Jun-04 Product Code: primary
TABELLA DELLE VARIAZIONI DI PORTAFOGLIO I 20 MAGGIORI ACQUISTI E VENDITE PER COMPARTO (valori espressi in EUR)
US COLLECTION 15-giu-15 Vulcan Value Equity Fund 19.852.107 16-giu-15 Conventum - Lyrical Fund 19.400.664 15-mag-15 Davis Funds SICAV - Davis Value Fund 13.292.807 18-mag-15 Davis Funds SICAV - Davis Value
Marketing Financial Services to the Over 50s
A Datamonitor report Marketing Financial Services to the Over 50s Published: Dec-04 Product Code: Providing you with: Use this report to Better plan your business strategies with the help of in-depth analysis
International Investor
Information and Advice on World Stockmarkets from Securities Research Company's... Issue No. 152 www.stockmarket.co.nz August 11, 2008 Inside Stockmarket Forecasts relatively Neutral... 1 Founder: James
COOPERATION GUIDANCE BETWEEN RECOGNISED BODIES AND INSOLVENCY PRACTITIONERS TO ASSIST MANAGEMENT OF MEMBER DEFAULTS BY RECOGNISED BODIES
Financial Services Authority COOPERATION GUIDANCE BETWEEN RECOGNISED BODIES AND INSOLVENCY PRACTITIONERS TO ASSIST MANAGEMENT OF MEMBER DEFAULTS BY RECOGNISED BODIES (Recognised Clearing House Version)
Fund volatility and performance
Fund volatility and performance Our funds This guide provides you with details of the past performance and volatility figures for our fund range. These can be used to help you understand the investment
RETIREMENT ACCOUNT SCOTTISH WIDOWS PENSION FUND CHARGES
RETIREMENT ACCOUNT SCOTTISH WIDOWS PENSION FUND CHARGES SCOTTISH WIDOWS RETIREMENT ACCOUNT THE SCOTTISH WIDOWS RETIREMENT ACCOUNT COMBINES RETIREMENT PLANNING WITH RETIREMENT INCOME, ALLOWING YOU TO CONSOLIDATE
BULLETIN LIST OF CHESS PARTICIPANTS
CHESS Bulletin Date: 15 April 2003 Key topics 1. List of active Participants 2. List of Clearing arrangements REGISTRY BULLETIN LIST OF CHESS PARTICIPANTS This Bulletin provides the following information
210 7 ) URL. http://www.resonabank.co.jp/nenkin/sisan/ri/index.html
210 7 ) URL 1 Mitsubishi UFJ Trust and Banking Corporation 6010001008770 http://www.tr.mufg.jp/houjin/jutaku/ http://www.tr.mufg.jp/houjin/jutaku/stewardship_ja.html 2 Mizuho Trust & Banking Co,. 9010001034962
The Importance of Brand in the Asset Management Industry. Presentation prepared for Financial Services Forum. London, 25 th June 2015.
The Importance of in the Asset Management Industry Presentation prepared for Financial Services Forum. London, 25 th June 2015. 1. How s drive business value The importance of Customer Experience in driving
The Role of Banks and Building Societies in UK General Insurance
A Datamonitor report The Role of Banks and Building Societies in UK General Insurance Current and Future Trends Published: Dec-04 Product Code: Providing you with: Current and future market shares of the
Re: Notice of Change in Interests of Substantial Shareholder under Section 671B. Lydia Isaac: Fax (213) 615 4056
The Capital Group Companies, Inc. 333 South Hope Street Los Angeles, California 90071-1406 19 April 2016 thecapitalgroup.com BY EMAIL - ORIGINAL IN POST ([email protected], [email protected])
Valuations for Lenders Our Specialist Area of Business. William Newsom Head of Valuation, Savills Commercial Limited
Valuations for Lenders Our Specialist Area of Business William Newsom Head of Valuation, Savills Commercial Limited Presentation Contents Savills Corporate Profile Commercial Valuation Department Areas
Moneyspider - Availibility of Funds Via Supermarkets
7IM - AAP Adventurous Yes No Yes 7IM - AAP Balanced Yes Yes Yes 7IM - AAP Income Yes Yes Yes 7IM - AAP Moderately Adventurous Yes Yes Yes 7IM - AAP Moderately Cautious Yes Yes Yes 7IM - Adventurous Yes
Employment Report 2014
Employment Report 2014 2013/14 Class Profile The Department of Finance is home to 250 Masters students across five degree programmes: MSc Finance (Full-time), MSc Finance and Economics, MSc Finance and
Equity lending survey 2010
Equity lending survey 2010 r e p r i n t e d f r o m G I / I S F S e p t e m b e r 2 0 1 0 Euromoney Institutional Investor PLC, London 2010 Credit Suisse and State Street are crowned top Borrower and
2015 H1 European Cash Equity and ETF Broker Rankings. Calculated by Markit MSA
2015 H1 European Cash Equity and ETF Rankings Calculated by Markit MSA Markit is a leading, global financial information services company. Markit delivers over 40 products and services designed to reduce
Equity Derivatives and Structured Retail: Success Through Innovation. November 2010
Equity Derivatives and Structured Retail: Success Through Innovation November 2010 Agenda The Royal Bank of Scotland Structured Product Trends Integrated Approach Product Segments Client Engagement Online
Order Execution Policy
Order Execution Policy 1 Overview The purpose of this document is to provide clients of Stocktrade ( Stocktrade or we or us ) with information in relation to our Order Execution Policy. The Order Execution
Quantum. Investment Guide. November 2011
Quantum Investment Guide November 2011 Contents 02 Investment choice for your Quantum 02 Risk and return 03 Managed funds 03 A world of investment choice 04 Fund range overview 12 Fund objectives 20 Important
Foreign collective investment schemes Changes - February, 2008
Foreign collective investment schemes Changes - February, 2008 Approved for distribution in or from Switzerland: Cazenove International Fund Plc - The Cazenove Strategic Debt Fund FIRST INDEPENDENT FUND
Wealth Solutions Bond Fund Menu
Wealth Solutions Bond Menu Choosing the right funds 3 The importance of diversification 3 Investing for income or growth 3 Investing with Friends Life 4 distribution funds 7 Charges and fund risks 8 risk
ISDA International Swaps and Derivatives Association, Inc.
STANDARD SETTLEMENT INSTRUCTIONS REPOSITORY Best Practice Requirements August 2010 Table of Contents 1 REVISION HISTORY... 2 2 PROBLEM STATEMENT... 3 3 DOCUMENT PURPOSE... 3 4 SCOPE... 3 5 STANDARD SETTLEMENT
PROMISELAND INDEPENDENT
FA Disclosure PROMISELAND INDEPENDENT Trusted Advice, Trusted Advisers PROMISELAND INDEPENDENT Financial Advisory Disclosure PromiseLand Independent Pte Ltd is one of the leading licensed financial adviser
FINANCIAL PLANNING Tariff of charges
FINANCIAL PLANNING Tariff of charges Customers receiving advice Ways to Invest with Nationwide There are two ways to invest through Nationwide: with advice via one of our Nationwide financial advisers
Fund guide. Flexible Retirement Plan (Personal Pension and Income Drawdown with SIPP Options) Prudential Investment Plan Flexible Investment Plan
A Fund guide Flexible Retirement Plan (Personal Pension and Income Drawdown with SIPP Options) Prudential Investment Plan Flexible Investment Plan Introduction to this guide We know that choosing which
MULTI ASSET SERIES Investment Research. The DGF market deconstructed. Diversified growth funds survey Q2 2015. Sponsored by
MULTI ASSET SERIES Investment Research The DGF market deconstructed Diversified growth funds survey Q2 2015 Sponsored by Report run on 07 September 2015 Clear and Independent Institutional Investment Analysis
FOR IMMEDIATE RELEASE 19 JANUARY 2015 DIVIDEND PAYMENTS INCREASINGLY REGULAR: AIC PUBLISHES LIST OF INVESTMENT COMPANY DIVIDEND DATES
FOR IMMEDIATE RELEASE 19 JANUARY 2015 DIVIDEND PAYMENTS INCREASINGLY REGULAR: AIC PUBLISHES LIST OF INVESTMENT COMPANY DIVIDEND DATES - Significant increase in quarterly dividend payers- 17% five years
Relationship Team Manager Dealogic United Kingdom WWU Treasurer Wales and West United Kingdom Investment Manager NW Brown United Kingdom
Job Title Company Country Analyst Kokusai Asset Management MD, PM Allianz (Pimco Europe Ltd / London) Portfolio Manager NOW: Pensions Investment Denmark Managing Director The Colville Estate Head of Finance
Common Links in Title
Common Links in Title Common Links in Title (updated Sep. 2013) ABBEY NATIONAL BUILDING SOCIETY 12 Jul. 1989 - Assets transferred to ABBEY NATIONAL PLC. ABBEY NATIONAL PLC 12 Jul. 1989 - Assets of ABBEY
The Future Role of Brandassurers in UK General Insurance
A Datamonitor Brief timely The Future Role of Brandassurers in UK General Insurance A Brand New Insurance Channel Reacting to the latest news breaking in your industry focused Publication Date: Jun-04
Die KümpersFinanz AG vermittelt Anlagen in Investmentfonds der nachstehend genannten Fondsgesellschaften:
Die KümpersFinanz AG vermittelt Anlagen in Investmentfonds der nachstehend genannten Fondsgesellschaften: Fondsgesellschaft 1. Sicav Aberdeen Asset Managers Limited Absolute Plus AG ACMBERNSTEIN (Deutschland)
Code 1220 - Deposit-taking corporations except the national central bank (i.e. credit institutions and electronic money institutions)
1220 - Deposit-taking corporations except the national central bank (i.e. credit institutions and electronic money institutions) SHS 1220 BE0451289431 AACHENER BANK EG (BELGIAN BRANCH) 1220 BE0470926684
Formerly AIB Grofund International Ltd. ditto minus Sterling International Bond (5) Merged with Global Stock Investments Ltd 19/3/97
Fund Name Start Date End Date Location File Ref Comments Sub Funds Institutional International Equity Managed;International Equity Managed;Sterling International Equity Grofund International Ltd 06/04/1990
Best Execution Policy
Best Execution Policy Best Execution Policy hereinafter referred to as the company I. Objective This Best Execution Policy establishes principles and procedures to achieve in the context of transactions
Investment Bond and Portfolio Investment Bond Fund Switch request
Investment and Portfolio Investment Fund Switch request Name(s) of planholder Plan number Before completing this form, you should read the notes below and overleaf as they give general information about
April 2015 Prospective Report Item 3b, Attachment 1 Solicitations, Contracts, Purchase Orders and Letters of Engagement - $1 Million or Greater
1. 2. SOLICITATIONS Program Release Pharmacy Benefits Manager (Solicitation No. TBD) Anticipated Contract Start HPAD Summer 2015 January 2017 This solicitation will accomplish pharmacy benefit services
PANEL SPEAKERS FIXED INCOME PANEL. Mario Muth, Deutsche Bank. Stuart Campbell, Invesco. Christine Kenny, Loomis Sayles Investments
PANEL SPEAKERS FIXED INCOME PANEL Mario Muth, Deutsche Bank Global Head of Rates etrading Sales Mario is the global head of rates electronic trading sales based in London. In his capacity he is responsible
Competitor Profiles of the Top UK Commercial Insurers
A Datamonitor report Competitor Profiles of the Top UK Commercial Insurers Published: Jul-05 Product Code: Providing you with: Key statistical data on each of the players profiled including GEP, market
Customer Retention in the Life and Pension Market: To Have and To Hold
A Datamonitor brief timely Customer Retention in the Life and Pension Market: To Have and To Hold Publication Date: Feb-04 Product Code: Reacting to the latest news breaking in your industry focused Hundreds
Global mirror fund guide
Fund Management Groups Global mirror fund guide March 2015 Friends Provident International Limited Singapore Branch (Friends Provident International) has prepared this guide to help you choose the mirror
Lessons from IC readers growth portfolios. Moira O Neill Personal Finance Editor Investors Chronicle
Lessons from IC readers growth portfolios Moira O Neill Personal Finance Editor Investors Chronicle About me Financial journalist for 17 years Personal Finance Editor at Investors Chronicle for past 7
Wise Designated Investment Portfolios on Pershing, Cofunds & Skandia
Wise Designated Investment Portfolios on Pershing, Cofunds & Skandia January 2013 KEY BENEFITS OF THE WISE DESIGNATED INVESTMENT PORTFOLIOS Wise Investment offers a range of investment portfolios which
Asset Management Valuation Quarterly Update
www.pwc.com Asset Management Valuation Quarterly Update Q2 2015 A publication from PwC s Deals practice Financial Services Industry Asset Management Valuation Quarterly Update Recent Market Developments
PN 16 Bank Reports for Audit Purposes UK mainland credit institution contact details
PN 16 Bank Reports for Audit Purposes UK mainland credit institution contact details The following table provides contact details for use in respect of bank reports for audit purposes. It includes banks
InterSystems in Financial Services
InterSystems in Financial Services Financial services companies are under intense pressure to stay within budget and to control expenditures on information technology. Yet, to satisfy customers and keep
The Potential for Bundled Insurance Products
A Datamonitor Brief timely The Potential for Bundled Insurance Products Publication Date: Aug-04 Product Code: Reacting to the latest news breaking in your industry focused Hundreds of hours of analyst