FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited...

107
FOI5126 - Annex A FRN Firm Name Status (Current) Dual Regulation Indicator Data Item Code 106052 MF Global UK Limited Authorised N FSA001 106052 MF Global UK Limited Authorised N FSA002 106081 Landmark Mortgages Limited Authorised N FSA001 106081 Landmark Mortgages Limited Authorised N FSA002 106126 Bradford & Bingley Plc Authorised N FSA001 106126 Bradford & Bingley Plc Authorised N FSA002 106136 Edwards Securities Ltd Authorised N FSA001 106136 Edwards Securities Ltd Authorised N FSA002 110134 CCBI METDIST GLOBAL COMMODITIES (UK) LIMITED Authorised N FSA001 110134 CCBI METDIST GLOBAL COMMODITIES (UK) LIMITED Authorised N FSA002 112922 Michael J Field Consulting Actuaries Authorised N FSA001 112922 Michael J Field Consulting Actuaries Authorised N FSA002 113942 Gain Capital UK Limited Authorised N FSA001 113942 Gain Capital UK Limited Authorised N FSA002 113946 Amalgamated Metal Trading Ltd Authorised N FSA001 113946 Amalgamated Metal Trading Ltd Authorised N FSA002 113980 Cheuvreux International Limited Authorised N FSA001 113980 Cheuvreux International Limited Authorised N FSA002 114008 Cal Investments Ltd Authorised N FSA001 114008 Cal Investments Ltd Authorised N FSA002 114031 J.P. Morgan Markets Limited Authorised N FSA001 114031 J.P. Morgan Markets Limited Authorised N FSA002 114054 Lazard & Co Limited Authorised N FSA001 114054 Lazard & Co Limited Authorised N FSA002 114059 IG Index Limited Authorised N FSA001 114059 IG Index Limited Authorised N FSA002 114097 Record Currency Management Limited Authorised N FSA001 114097 Record Currency Management Limited Authorised N FSA002 114120 R.J. O'Brien Limited Authorised N FSA001 114120 R.J. O'Brien Limited Authorised N FSA002 114159 Berkeley Futures Ltd Authorised N FSA001 114159 Berkeley Futures Ltd Authorised N FSA002 114233 Sabre Fund Management Ltd Authorised N FSA001 114233 Sabre Fund Management Ltd Authorised N FSA002 114237 GF Financial Markets (UK) Limited Authorised N FSA001 114237 GF Financial Markets (UK) Limited Authorised N FSA002 114239 Sucden Financial Limited Authorised N FSA001 114239 Sucden Financial Limited Authorised N FSA002 114265 Stockdale Securities Limited Authorised N FSA001 114265 Stockdale Securities Limited Authorised N FSA002 114294 Man Investments Ltd Authorised N FSA001 114294 Man Investments Ltd Authorised N FSA002 114318 Whitechurch Securities Limited Authorised N FSA001 114318 Whitechurch Securities Limited Authorised N FSA002 114324 Bordier & Cie (UK) PLC Authorised N FSA001 114324 Bordier & Cie (UK) PLC Authorised N FSA002 114341 F H. Manning Financial Services Limited Authorised N FSA001 114341 F H. Manning Financial Services Limited Authorised N FSA002 114354 Thesis Asset Management Plc Authorised N FSA001 114354 Thesis Asset Management Plc Authorised N FSA002 114359 Duncan Lawrie Asset Management Limited Authorised N FSA001 114359 Duncan Lawrie Asset Management Limited Authorised N FSA002 114370 Portland Financial Management Limited Authorised N FSA001 114370 Portland Financial Management Limited Authorised N FSA002 114373 Solution Mortgages Limited Authorised N FSA001 114373 Solution Mortgages Limited Authorised N FSA002 114402 Wilfred T. Fry (Personal Financial Planning) Limited Authorised N FSA001

Transcript of FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited...

Page 1: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

FRN Firm Name Status (Current) Dual Regulation Indicator Data Item Code

106052 MF Global UK Limited Authorised N FSA001

106052 MF Global UK Limited Authorised N FSA002

106081 Landmark Mortgages Limited Authorised N FSA001

106081 Landmark Mortgages Limited Authorised N FSA002

106126 Bradford & Bingley Plc Authorised N FSA001

106126 Bradford & Bingley Plc Authorised N FSA002

106136 Edwards Securities Ltd Authorised N FSA001

106136 Edwards Securities Ltd Authorised N FSA002

110134 CCBI METDIST GLOBAL COMMODITIES (UK) LIMITED Authorised N FSA001

110134 CCBI METDIST GLOBAL COMMODITIES (UK) LIMITED Authorised N FSA002

112922 Michael J Field Consulting Actuaries Authorised N FSA001

112922 Michael J Field Consulting Actuaries Authorised N FSA002

113942 Gain Capital UK Limited Authorised N FSA001

113942 Gain Capital UK Limited Authorised N FSA002

113946 Amalgamated Metal Trading Ltd Authorised N FSA001

113946 Amalgamated Metal Trading Ltd Authorised N FSA002

113980 Cheuvreux International Limited Authorised N FSA001

113980 Cheuvreux International Limited Authorised N FSA002

114008 Cal Investments Ltd Authorised N FSA001

114008 Cal Investments Ltd Authorised N FSA002

114031 J.P. Morgan Markets Limited Authorised N FSA001

114031 J.P. Morgan Markets Limited Authorised N FSA002

114054 Lazard & Co Limited Authorised N FSA001

114054 Lazard & Co Limited Authorised N FSA002

114059 IG Index Limited Authorised N FSA001

114059 IG Index Limited Authorised N FSA002

114097 Record Currency Management Limited Authorised N FSA001

114097 Record Currency Management Limited Authorised N FSA002

114120 R.J. O'Brien Limited Authorised N FSA001

114120 R.J. O'Brien Limited Authorised N FSA002

114159 Berkeley Futures Ltd Authorised N FSA001

114159 Berkeley Futures Ltd Authorised N FSA002

114233 Sabre Fund Management Ltd Authorised N FSA001

114233 Sabre Fund Management Ltd Authorised N FSA002

114237 GF Financial Markets (UK) Limited Authorised N FSA001

114237 GF Financial Markets (UK) Limited Authorised N FSA002

114239 Sucden Financial Limited Authorised N FSA001

114239 Sucden Financial Limited Authorised N FSA002

114265 Stockdale Securities Limited Authorised N FSA001

114265 Stockdale Securities Limited Authorised N FSA002

114294 Man Investments Ltd Authorised N FSA001

114294 Man Investments Ltd Authorised N FSA002

114318 Whitechurch Securities Limited Authorised N FSA001

114318 Whitechurch Securities Limited Authorised N FSA002

114324 Bordier & Cie (UK) PLC Authorised N FSA001

114324 Bordier & Cie (UK) PLC Authorised N FSA002

114341 F H. Manning Financial Services Limited Authorised N FSA001

114341 F H. Manning Financial Services Limited Authorised N FSA002

114354 Thesis Asset Management Plc Authorised N FSA001

114354 Thesis Asset Management Plc Authorised N FSA002

114359 Duncan Lawrie Asset Management Limited Authorised N FSA001

114359 Duncan Lawrie Asset Management Limited Authorised N FSA002

114370 Portland Financial Management Limited Authorised N FSA001

114370 Portland Financial Management Limited Authorised N FSA002

114373 Solution Mortgages Limited Authorised N FSA001

114373 Solution Mortgages Limited Authorised N FSA002

114402 Wilfred T. Fry (Personal Financial Planning) Limited Authorised N FSA001

Page 2: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

114402 Wilfred T. Fry (Personal Financial Planning) Limited Authorised N FSA002

114428 Maunby Investment Management Ltd Authorised N FSA001

114428 Maunby Investment Management Ltd Authorised N FSA002

114432 Investment Funds Direct Limited Authorised N FSA001

114432 Investment Funds Direct Limited Authorised N FSA002

114503 Amundi (UK) Ltd Authorised N FSA001

114503 Amundi (UK) Ltd Authorised N FSA002

114543 Finesco Financial Services Limited Authorised N FSA001

114543 Finesco Financial Services Limited Authorised N FSA002

114563 Richmond House Investment Services Limited Authorised N FSA001

114563 Richmond House Investment Services Limited Authorised N FSA002

114617 Birchwood Investment Management Limited Authorised N FSA001

114617 Birchwood Investment Management Limited Authorised N FSA002

114619 Taylor Patterson Associates Limited Authorised N FSA001

114619 Taylor Patterson Associates Limited Authorised N FSA002

114621 IFDC Ltd Authorised N FSA001

114621 IFDC Ltd Authorised N FSA002

114627 Credit Suisse Asset Management Limited Authorised N FSA001

114627 Credit Suisse Asset Management Limited Authorised N FSA002

114650 Lowes Financial Management Limited Authorised N FSA001

114650 Lowes Financial Management Limited Authorised N FSA002

114661 The Falcon Group Limited Authorised N FSA001

114661 The Falcon Group Limited Authorised N FSA002

114721 Putnam Investments Limited Authorised N FSA001

114721 Putnam Investments Limited Authorised N FSA002

114762 Cambridge Investments Limited Authorised N FSA001

114762 Cambridge Investments Limited Authorised N FSA002

114793 Central Investment Services (Scotland) Limited Authorised N FSA001

114793 Central Investment Services (Scotland) Limited Authorised N FSA002

114803 Edmond de Rothschild Securities (UK) Limited Authorised N FSA001

114803 Edmond de Rothschild Securities (UK) Limited Authorised N FSA002

114833 Rockwells Investment Advisers Limited Authorised N FSA001

114833 Rockwells Investment Advisers Limited Authorised N FSA002

114952 Charteris Treasury Portfolio Managers Limited Authorised N FSA001

114952 Charteris Treasury Portfolio Managers Limited Authorised N FSA002

114956 CHARLES STANLEY INVESTMENT CHOICES LIMITED Authorised N FSA001

114956 CHARLES STANLEY INVESTMENT CHOICES LIMITED Authorised N FSA002

115011 Arena Wealth Management Limited Authorised N FSA001

115011 Arena Wealth Management Limited Authorised N FSA002

115020 Lacomp Plc Authorised N FSA001

115020 Lacomp Plc Authorised N FSA002

115057 Buck Consultants (Administration & Investment) Limited Authorised N FSA001

115057 Buck Consultants (Administration & Investment) Limited Authorised N FSA002

115088 Michael Davey Financial Management Limited Authorised N FSA001

115088 Michael Davey Financial Management Limited Authorised N FSA002

115126 Daiwa SB Investments (UK) Ltd Authorised N FSA001

115126 Daiwa SB Investments (UK) Ltd Authorised N FSA002

115161 ROGGE GLOBAL PARTNERS LIMITED Authorised N FSA001

115161 ROGGE GLOBAL PARTNERS LIMITED Authorised N FSA002

115231 Marlborough Investment Management Limited Authorised N FSA001

115231 Marlborough Investment Management Limited Authorised N FSA002

115234 Agora Financial UK Limited Authorised N FSA001

115234 Agora Financial UK Limited Authorised N FSA002

115235 Saunderson House Limited Authorised N FSA001

115235 Saunderson House Limited Authorised N FSA002

115241 Miton Asset Management Limited Authorised N FSA001

115241 Miton Asset Management Limited Authorised N FSA002

115248 Hargreaves Lansdown Asset Management Limited Authorised N FSA001

Page 3: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

115248 Hargreaves Lansdown Asset Management Limited Authorised N FSA002

115308 Reyker Securities Plc Authorised N FSA001

115308 Reyker Securities Plc Authorised N FSA002

116086 Capital & Counties Asset Management Ltd Authorised N FSA001

116086 Capital & Counties Asset Management Ltd Authorised N FSA002

116252 Cavendish Asset Management Ltd Authorised N FSA001

116252 Cavendish Asset Management Ltd Authorised N FSA002

116310 GCA Altium Limited Authorised N FSA001

116310 GCA Altium Limited Authorised N FSA002

116320 J. Edward Sellars & Partners Limited Authorised N FSA001

116320 J. Edward Sellars & Partners Limited Authorised N FSA002

116337 SDB Strategic Planners Limited Authorised N FSA001

116337 SDB Strategic Planners Limited Authorised N FSA002

116362 J.P. Morgan Trustee & Administration Services Limited Authorised N FSA001

116362 J.P. Morgan Trustee & Administration Services Limited Authorised N FSA002

116404 Waverton Investment Management Limited Authorised N FSA001

116404 Waverton Investment Management Limited Authorised N FSA002

116413 Jarvis Investment Management Limited Authorised N FSA001

116413 Jarvis Investment Management Limited Authorised N FSA002

116445 Streets Financial Consulting plc Authorised N FSA001

116445 Streets Financial Consulting plc Authorised N FSA002

118061 Augustine Limited Authorised N FSA001

118061 Augustine Limited Authorised N FSA002

119174 Threadneedle Portfolio Services Limited Authorised N FSA001

119174 Threadneedle Portfolio Services Limited Authorised N FSA002

119178 Aviva Investors Global Services Limited Authorised N FSA001

119178 Aviva Investors Global Services Limited Authorised N FSA002

119184 Zedra Trust Company (UK) Limited Authorised N FSA001

119184 Zedra Trust Company (UK) Limited Authorised N FSA002

119186 BlackRock Advisors (UK) Limited Authorised N FSA001

119186 BlackRock Advisors (UK) Limited Authorised N FSA002

119193 Capital International Limited Authorised N FSA001

119193 Capital International Limited Authorised N FSA002

119196 BNY Mellon Investment Management EMEA Limited Authorised N FSA001

119196 BNY Mellon Investment Management EMEA Limited Authorised N FSA002

119207 Crown Agents Investment Management Limited Authorised N FSA001

119207 Crown Agents Investment Management Limited Authorised N FSA002

119223 HBOS Investment Fund Managers Limited Authorised N FSA001

119223 HBOS Investment Fund Managers Limited Authorised N FSA002

119230 F & C Management Limited Authorised N FSA001

119230 F & C Management Limited Authorised N FSA002

119235 GAM Sterling Management Limited Authorised N FSA001

119235 GAM Sterling Management Limited Authorised N FSA002

119236 Gartmore Investment Limited Authorised N FSA001

119236 Gartmore Investment Limited Authorised N FSA002

119270 Asset Value Investors Limited Authorised N FSA001

119270 Asset Value Investors Limited Authorised N FSA002

119272 Legal & General Investment Management Ltd Authorised N FSA001

119272 Legal & General Investment Management Ltd Authorised N FSA002

119274 Butterfield Mortgages Limited Authorised N FSA001

119274 Butterfield Mortgages Limited Authorised N FSA002

119281 CCLA Investment Management Ltd Authorised N FSA001

119281 CCLA Investment Management Ltd Authorised N FSA002

119283 BMO REP Asset Management plc Authorised N FSA001

119283 BMO REP Asset Management plc Authorised N FSA002

119289 Martin Currie Investment Management Ltd Authorised N FSA001

119289 Martin Currie Investment Management Ltd Authorised N FSA002

119293 BlackRock Investment Management (UK) Limited Authorised N FSA001

Page 4: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

119293 BlackRock Investment Management (UK) Limited Authorised N FSA002

119298 Invesco Fund Managers Limited Authorised N FSA001

119298 Invesco Fund Managers Limited Authorised N FSA002

119304 AlphaGen Capital Limited Authorised N FSA001

119304 AlphaGen Capital Limited Authorised N FSA002

119308 Insight Investment Management (Global) Limited Authorised N FSA001

119308 Insight Investment Management (Global) Limited Authorised N FSA002

119319 UBS Asset Management (UK) Ltd Authorised N FSA001

119319 UBS Asset Management (UK) Ltd Authorised N FSA002

119328 M&G Investment Management Limited Authorised N FSA001

119328 M&G Investment Management Limited Authorised N FSA002

119329 Close Asset Management Limited Authorised N FSA001

119329 Close Asset Management Limited Authorised N FSA002

119331 Newton Investment Management Ltd Authorised N FSA001

119331 Newton Investment Management Ltd Authorised N FSA002

119337 JPMorgan Asset Management (UK) Limited Authorised N FSA001

119337 JPMorgan Asset Management (UK) Limited Authorised N FSA002

119348 Schroder Investment Management Ltd Authorised N FSA001

119348 Schroder Investment Management Ltd Authorised N FSA002

119367 First State Investment Management (UK) Limited Authorised N FSA001

119367 First State Investment Management (UK) Limited Authorised N FSA002

119368 AXA Investment Managers UK Ltd Authorised N FSA001

119368 AXA Investment Managers UK Ltd Authorised N FSA002

120776 London and Capital Limited Authorised N FSA001

120776 London and Capital Limited Authorised N FSA002

121066 Evans Hart Limited Authorised N FSA001

121066 Evans Hart Limited Authorised N FSA002

121779 Franklin Templeton Investment Management Limited Authorised N FSA001

121779 Franklin Templeton Investment Management Limited Authorised N FSA002

121784 Henderson Investment Management Limited Authorised N FSA001

121784 Henderson Investment Management Limited Authorised N FSA002

121803 Aberdeen Fund Managers Limited Authorised N FSA001

121803 Aberdeen Fund Managers Limited Authorised N FSA002

121816 Mitsubishi UFJ Asset Management (UK) Ltd Authorised N FSA001

121816 Mitsubishi UFJ Asset Management (UK) Ltd Authorised N FSA002

121818 Baillie Gifford Overseas Limited Authorised N FSA001

121818 Baillie Gifford Overseas Limited Authorised N FSA002

121831 Legg Mason Investments (Europe) Limited Authorised N FSA001

121831 Legg Mason Investments (Europe) Limited Authorised N FSA002

121839 Lazard Asset Management Limited Authorised N FSA001

121839 Lazard Asset Management Limited Authorised N FSA002

121857 Henderson Global Investors Limited Authorised N FSA001

121857 Henderson Global Investors Limited Authorised N FSA002

121859 Henderson Investment Funds Limited Authorised N FSA001

121859 Henderson Investment Funds Limited Authorised N FSA002

121887 Iona Capital Ltd Authorised N FSA001

121887 Iona Capital Ltd Authorised N FSA002

121891 Aberdeen Asset Managers Limited Authorised N FSA001

121891 Aberdeen Asset Managers Limited Authorised N FSA002

121895 Ignis Investment Services Limited Authorised N FSA001

121895 Ignis Investment Services Limited Authorised N FSA002

121912 LGV Capital Limited Authorised N FSA001

121912 LGV Capital Limited Authorised N FSA002

121920 Morgan Stanley Investment Management Limited Authorised N FSA001

121920 Morgan Stanley Investment Management Limited Authorised N FSA002

121921 NFU Mutual Investment Services Ltd Authorised N FSA001

121921 NFU Mutual Investment Services Ltd Authorised N FSA002

121926 McInroy & Wood Ltd Authorised N FSA001

Page 5: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

121926 McInroy & Wood Ltd Authorised N FSA002

121935 Mercer Limited Authorised N FSA001

121935 Mercer Limited Authorised N FSA002

121943 West Midlands Enterprise Limited Authorised N FSA001

121943 West Midlands Enterprise Limited Authorised N FSA002

121980 F&C Managers Limited Authorised N FSA001

121980 F&C Managers Limited Authorised N FSA002

122003 Abingworth Management Ltd Authorised N FSA001

122003 Abingworth Management Ltd Authorised N FSA002

122009 Silverfleet Capital Limited Authorised N FSA001

122009 Silverfleet Capital Limited Authorised N FSA002

122011 M&G Alternatives Investment Management Limited Authorised N FSA001

122011 M&G Alternatives Investment Management Limited Authorised N FSA002

122013 Mr R Peter W Millar Authorised N FSA001

122013 Mr R Peter W Millar Authorised N FSA002

122028 EFL Futures Limited Authorised N FSA001

122028 EFL Futures Limited Authorised N FSA002

122058 M & G Financial Services Limited Authorised N FSA001

122058 M & G Financial Services Limited Authorised N FSA002

122067 Premier Portfolio Managers Limited Authorised N FSA001

122067 Premier Portfolio Managers Limited Authorised N FSA002

122084 Nikko Asset Management Europe Ltd Authorised N FSA001

122084 Nikko Asset Management Europe Ltd Authorised N FSA002

122113 Daiwa Asset Management (Europe) Ltd Authorised N FSA001

122113 Daiwa Asset Management (Europe) Ltd Authorised N FSA002

122126 Deutsche Trustee Company Ltd Authorised N FSA001

122126 Deutsche Trustee Company Ltd Authorised N FSA002

122130 Aberdeen Investment Solutions Limited Authorised N FSA001

122130 Aberdeen Investment Solutions Limited Authorised N FSA002

122137 Pyrford International Limited Authorised N FSA001

122137 Pyrford International Limited Authorised N FSA002

122140 Mirabaud Asset Management Limited Authorised N FSA001

122140 Mirabaud Asset Management Limited Authorised N FSA002

122148 Charterhouse General Partners (IX) Limited Authorised N FSA001

122148 Charterhouse General Partners (IX) Limited Authorised N FSA002

122169 Financial Administration Services Limited Authorised N FSA001

122169 Financial Administration Services Limited Authorised N FSA002

122170 FIL Investments International Authorised N FSA001

122170 FIL Investments International Authorised N FSA002

122188 Ignis Fund Managers Limited Authorised N FSA001

122188 Ignis Fund Managers Limited Authorised N FSA002

122194 Threadneedle Asset Management Limited Authorised N FSA001

122194 Threadneedle Asset Management Limited Authorised N FSA002

122200 HG Investment Managers Limited Authorised N FSA001

122200 HG Investment Managers Limited Authorised N FSA002

122222 Franklin Templeton Fund Management Limited Authorised N FSA001

122222 Franklin Templeton Fund Management Limited Authorised N FSA002

122229 RF Trustee Co. Limited Authorised N FSA001

122229 RF Trustee Co. Limited Authorised N FSA002

122244 Sarasin Investment Funds Limited Authorised N FSA001

122244 Sarasin Investment Funds Limited Authorised N FSA002

122282 Russell Investments Limited Authorised N FSA001

122282 Russell Investments Limited Authorised N FSA002

122305 Schroder Investments Limited Authorised N FSA001

122305 Schroder Investments Limited Authorised N FSA002

122330 GAM London Limited Authorised N FSA001

122330 GAM London Limited Authorised N FSA002

122331 GAM International Management Ltd Authorised N FSA001

Page 6: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

122331 GAM International Management Ltd Authorised N FSA002

122335 HSBC Global Asset Management (UK) Limited Authorised N FSA001

122335 HSBC Global Asset Management (UK) Limited Authorised N FSA002

122336 Top Technology Ventures Limited Authorised N FSA001

122336 Top Technology Ventures Limited Authorised N FSA002

122351 Family Equity Plan Limited Authorised N FSA001

122351 Family Equity Plan Limited Authorised N FSA002

122365 Innvotec Limited Authorised N FSA001

122365 Innvotec Limited Authorised N FSA002

122397 Consulta Ltd Authorised N FSA001

122397 Consulta Ltd Authorised N FSA002

122420 Investec Asset Management Limited Authorised N FSA001

122420 Investec Asset Management Limited Authorised N FSA002

122428 Alder Investment Management Ltd Authorised N FSA001

122428 Alder Investment Management Ltd Authorised N FSA002

122429 Walter Scott + Partners Limited Authorised N FSA001

122429 Walter Scott + Partners Limited Authorised N FSA002

122448 Artemis Fund Managers Limited Authorised N FSA001

122448 Artemis Fund Managers Limited Authorised N FSA002

122451 Vencap International Plc Authorised N FSA001

122451 Vencap International Plc Authorised N FSA002

122483 City Asset Management Plc Authorised N FSA001

122483 City Asset Management Plc Authorised N FSA002

122491 Santander Asset Management UK Limited Authorised N FSA001

122491 Santander Asset Management UK Limited Authorised N FSA002

122499 BRI Wealth Management PLC Authorised N FSA001

122499 BRI Wealth Management PLC Authorised N FSA002

122512 First State Investments International Limited Authorised N FSA001

122512 First State Investments International Limited Authorised N FSA002

122528 Fabian J.A. Finlay M.C.S.I. Authorised N FSA001

122528 Fabian J.A. Finlay M.C.S.I. Authorised N FSA002

122531 PineBridge Investments Europe Limited Authorised N FSA001

122531 PineBridge Investments Europe Limited Authorised N FSA002

122566 SG Hambros Trust Company Limited Authorised N FSA001

122566 SG Hambros Trust Company Limited Authorised N FSA002

122588 Sanlam Private Investments (UK) Ltd Authorised N FSA001

122588 Sanlam Private Investments (UK) Ltd Authorised N FSA002

122589 OLIM Ltd Authorised N FSA001

122589 OLIM Ltd Authorised N FSA002

122627 UBS O'Connor Limited Authorised N FSA001

122627 UBS O'Connor Limited Authorised N FSA002

122628 Baring International Investment Limited Authorised N FSA001

122628 Baring International Investment Limited Authorised N FSA002

122674 Invesco Asset Management Limited Authorised N FSA001

122674 Invesco Asset Management Limited Authorised N FSA002

122691 J. Rothschild Capital Management Limited Authorised N FSA001

122691 J. Rothschild Capital Management Limited Authorised N FSA002

122703 Nomura Asset Management UK Ltd Authorised N FSA001

122703 Nomura Asset Management UK Ltd Authorised N FSA002

122787 B & C E Financial Services Limited Authorised N FSA001

122787 B & C E Financial Services Limited Authorised N FSA002

124247 Barclays Stockbrokers Limited Authorised N FSA001

124247 Barclays Stockbrokers Limited Authorised N FSA002

124255 Tilney Investment Management Authorised N FSA001

124255 Tilney Investment Management Authorised N FSA002

124257 Pritchard Stockbrokers Limited Authorised N FSA001

124257 Pritchard Stockbrokers Limited Authorised N FSA002

124259 Quilter Cheviot Limited Authorised N FSA001

Page 7: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

124259 Quilter Cheviot Limited Authorised N FSA002

124279 Fiske Plc Authorised N FSA001

124279 Fiske Plc Authorised N FSA002

124308 Robert W Baird Limited Authorised N FSA001

124308 Robert W Baird Limited Authorised N FSA002

124341 ICAP WCLK Limited Authorised N FSA001

124341 ICAP WCLK Limited Authorised N FSA002

124345 SANLAM SECURITIES UK LIMITED Authorised N FSA001

124345 SANLAM SECURITIES UK LIMITED Authorised N FSA002

124366 Equistone Partners Europe Limited Authorised N FSA001

124366 Equistone Partners Europe Limited Authorised N FSA002

124373 BNP Paribas UK Limited Authorised N FSA001

124373 BNP Paribas UK Limited Authorised N FSA002

124394 First Equity Limited Authorised N FSA001

124394 First Equity Limited Authorised N FSA002

124404 Paul E Schweder Miller & Co Authorised N FSA001

124404 Paul E Schweder Miller & Co Authorised N FSA002

124412 Charles Stanley & Co Ltd Authorised N FSA001

124412 Charles Stanley & Co Ltd Authorised N FSA002

124415 Pershing Limited Authorised N FSA001

124415 Pershing Limited Authorised N FSA002

124444 Brewin Dolphin Limited Authorised N FSA001

124444 Brewin Dolphin Limited Authorised N FSA002

124451 N M Rothschild & Sons Ltd Authorised N FSA001

124451 N M Rothschild & Sons Ltd Authorised N FSA002

124490 Daiwa Capital Markets Europe Limited Authorised N FSA001

124490 Daiwa Capital Markets Europe Limited Authorised N FSA002

124520 ICAP Securities Limited Authorised N FSA001

124520 ICAP Securities Limited Authorised N FSA002

124536 J.P. Morgan Limited Authorised N FSA001

124536 J.P. Morgan Limited Authorised N FSA002

124537 Investec Wealth & Investment Limited Authorised N FSA001

124537 Investec Wealth & Investment Limited Authorised N FSA002

124546 Sumitomo Mitsui Trust International Limited Authorised N FSA001

124546 Sumitomo Mitsui Trust International Limited Authorised N FSA002

124549 Quayle Munro Ltd Authorised N FSA001

124549 Quayle Munro Ltd Authorised N FSA002

124563 Oakes, Lyman & Co Limited Authorised N FSA001

124563 Oakes, Lyman & Co Limited Authorised N FSA002

124580 AX Markets Limited Authorised N FSA001

124580 AX Markets Limited Authorised N FSA002

124588 Swisscanto Funds Centre Limited Authorised N FSA001

124588 Swisscanto Funds Centre Limited Authorised N FSA002

124624 Mitsubishi UFJ Trust International Limited Authorised N FSA001

124624 Mitsubishi UFJ Trust International Limited Authorised N FSA002

124630 Financial & General Securities Ltd Authorised N FSA001

124630 Financial & General Securities Ltd Authorised N FSA002

124658 Speirs & Jeffrey Ltd Authorised N FSA001

124658 Speirs & Jeffrey Ltd Authorised N FSA002

124721 Monecor (London) Ltd Authorised N FSA001

124721 Monecor (London) Ltd Authorised N FSA002

124784 Shore Capital Stockbrokers Ltd Authorised N FSA001

124784 Shore Capital Stockbrokers Ltd Authorised N FSA002

124802 Ermgassen & Co Ltd Authorised N FSA001

124802 Ermgassen & Co Ltd Authorised N FSA002

124848 Freud Lemos Limited Authorised N FSA001

124848 Freud Lemos Limited Authorised N FSA002

124851 Cambridge Corporate Consultants Limited Authorised N FSA001

Page 8: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

124851 Cambridge Corporate Consultants Limited Authorised N FSA002

124885 M D Barnard & Co Ltd Authorised N FSA001

124885 M D Barnard & Co Ltd Authorised N FSA002

124899 DBS Vickers Securities UK Ltd Authorised N FSA001

124899 DBS Vickers Securities UK Ltd Authorised N FSA002

124995 Courtiers Investment Services Limited Authorised N FSA001

124995 Courtiers Investment Services Limited Authorised N FSA002

125041 Philip T. English International Financial Services Limited Authorised N FSA001

125041 Philip T. English International Financial Services Limited Authorised N FSA002

125116 Chalfont Investment Consultants Limited Authorised N FSA001

125116 Chalfont Investment Consultants Limited Authorised N FSA002

125495 S.I.T. Savings Limited Authorised N FSA001

125495 S.I.T. Savings Limited Authorised N FSA002

131372 Financial Advisors to Consultants Engineers and Technologists Limited Authorised N FSA001

131372 Financial Advisors to Consultants Engineers and Technologists Limited Authorised N FSA002

131596 WM Thomson & Sons Authorised N FSA001

131596 WM Thomson & Sons Authorised N FSA002

133515 Budge and Company Limited Authorised N FSA001

133515 Budge and Company Limited Authorised N FSA002

134903 Grossfield (Financial Services) Limited Authorised N FSA001

134903 Grossfield (Financial Services) Limited Authorised N FSA002

135266 Development Company for Israel (International) Limited Authorised N FSA001

135266 Development Company for Israel (International) Limited Authorised N FSA002

135377 ISC Institutional Service Center Ltd Authorised N FSA001

135377 ISC Institutional Service Center Ltd Authorised N FSA002

136684 Keith Montgomery Associates Limited Authorised N FSA001

136684 Keith Montgomery Associates Limited Authorised N FSA002

137218 The 140 Investment Managers Ltd Authorised N FSA001

137218 The 140 Investment Managers Ltd Authorised N FSA002

137569 Dart Capital Limited Authorised N FSA001

137569 Dart Capital Limited Authorised N FSA002

138065 Chate & Co Limited Authorised N FSA001

138065 Chate & Co Limited Authorised N FSA002

138124 NDF Administration Limited Authorised N FSA001

138124 NDF Administration Limited Authorised N FSA002

138169 Pharon Independent Financial Advisers Limited Authorised N FSA001

138169 Pharon Independent Financial Advisers Limited Authorised N FSA002

138889 FIM Services Limited Authorised N FSA001

138889 FIM Services Limited Authorised N FSA002

138941 Frank Corrigan & Company Limited Authorised N FSA001

138941 Frank Corrigan & Company Limited Authorised N FSA002

139100 Tufton Oceanic Ltd Authorised N FSA001

139100 Tufton Oceanic Ltd Authorised N FSA002

139122 Investcorp Securities Limited Authorised N FSA001

139122 Investcorp Securities Limited Authorised N FSA002

139179 Julius Baer International Limited Authorised N FSA001

139179 Julius Baer International Limited Authorised N FSA002

139200 Tradition (UK) Limited Authorised N FSA001

139200 Tradition (UK) Limited Authorised N FSA002

139207 Heritable Bank Plc Authorised N FSA001

139207 Heritable Bank Plc Authorised N FSA002

139253 Jefferies International Ltd Authorised N FSA001

139253 Jefferies International Ltd Authorised N FSA002

139398 Scottish Widows Administration Services Limited Authorised N FSA001

139398 Scottish Widows Administration Services Limited Authorised N FSA002

140773 W H Ireland Limited Authorised N FSA001

140773 W H Ireland Limited Authorised N FSA002

140822 Instinet Europe Limited Authorised N FSA001

Page 9: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

140822 Instinet Europe Limited Authorised N FSA002

140824 NCL Investments Limited Authorised N FSA001

140824 NCL Investments Limited Authorised N FSA002

140825 Madoff Securities International Limited Authorised N FSA001

140825 Madoff Securities International Limited Authorised N FSA002

140828 James Sharp & Co Authorised N FSA001

140828 James Sharp & Co Authorised N FSA002

140836 CLSA (UK) Authorised N FSA001

140836 CLSA (UK) Authorised N FSA002

140851 Noble Grossart Ltd Authorised N FSA001

140851 Noble Grossart Ltd Authorised N FSA002

140854 Jones Lang Lasalle Corporate Finance Limited Authorised N FSA001

140854 Jones Lang Lasalle Corporate Finance Limited Authorised N FSA002

140855 MDT (Corporate) Limited Authorised N FSA001

140855 MDT (Corporate) Limited Authorised N FSA002

140948 BELLECAPITAL UK LIMITED Authorised N FSA001

140948 BELLECAPITAL UK LIMITED Authorised N FSA002

141157 Triland Metals Ltd Authorised N FSA001

141157 Triland Metals Ltd Authorised N FSA002

141274 Jupiter Asset Management Limited Authorised N FSA001

141274 Jupiter Asset Management Limited Authorised N FSA002

141275 Larpent Newton & Co Ltd Authorised N FSA001

141275 Larpent Newton & Co Ltd Authorised N FSA002

141282 TD Direct Investing (Europe) Limited Authorised N FSA001

141282 TD Direct Investing (Europe) Limited Authorised N FSA002

141296 Russell Wood Limited Authorised N FSA001

141296 Russell Wood Limited Authorised N FSA002

141455 Winterflood Securities Ltd Authorised N FSA001

141455 Winterflood Securities Ltd Authorised N FSA002

141661 UBS Asset Management Funds Ltd Authorised N FSA001

141661 UBS Asset Management Funds Ltd Authorised N FSA002

141663 Invesco Global Investment Funds Limited Authorised N FSA001

141663 Invesco Global Investment Funds Limited Authorised N FSA002

141665 Royal London Asset Management Ltd Authorised N FSA001

141665 Royal London Asset Management Ltd Authorised N FSA002

141667 NS PARTNERS LTD Authorised N FSA001

141667 NS PARTNERS LTD Authorised N FSA002

141668 Nuveen Real Estate Management Limited Authorised N FSA001

141668 Nuveen Real Estate Management Limited Authorised N FSA002

141829 Capital Dynamics Limited Authorised N FSA001

141829 Capital Dynamics Limited Authorised N FSA002

141831 Adam & Company Investment Management Ltd Authorised N FSA001

141831 Adam & Company Investment Management Ltd Authorised N FSA002

142235 Stockcube Research Limited Authorised N FSA001

142235 Stockcube Research Limited Authorised N FSA002

142402 Fyshe Horton Finney Ltd Authorised N FSA001

142402 Fyshe Horton Finney Ltd Authorised N FSA002

142484 Capita Employee Benefits Limited Authorised N FSA001

142484 Capita Employee Benefits Limited Authorised N FSA002

142499 Barons Financial Services (UK) Ltd Authorised N FSA001

142499 Barons Financial Services (UK) Ltd Authorised N FSA002

142597 Baillie Gifford & Co Authorised N FSA001

142597 Baillie Gifford & Co Authorised N FSA002

142903 Swiss Finance Corporation Limited Authorised N FSA001

142903 Swiss Finance Corporation Limited Authorised N FSA002

142989 Tilney Discretionary Portfolio Management Limited Authorised N FSA001

142989 Tilney Discretionary Portfolio Management Limited Authorised N FSA002

143014 Threadneedle International Limited Authorised N FSA001

Page 10: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

143014 Threadneedle International Limited Authorised N FSA002

143020 Sumitomo Mitsui Asset Management (London) Limited Authorised N FSA001

143020 Sumitomo Mitsui Asset Management (London) Limited Authorised N FSA002

143097 Premier Fund Managers Ltd Authorised N FSA001

143097 Premier Fund Managers Ltd Authorised N FSA002

143286 London and Capital Asset Management Limited Authorised N FSA001

143286 London and Capital Asset Management Limited Authorised N FSA002

143340 Clarges Capital Limited Authorised N FSA001

143340 Clarges Capital Limited Authorised N FSA002

143390 Moore Stephens Financial Services (East Midlands) Limited Authorised N FSA001

143390 Moore Stephens Financial Services (East Midlands) Limited Authorised N FSA002

143445 Standard Life Investments (Corporate Funds) Limited Authorised N FSA001

143445 Standard Life Investments (Corporate Funds) Limited Authorised N FSA002

143452 Cornelian Asset Managers Limited Authorised N FSA001

143452 Cornelian Asset Managers Limited Authorised N FSA002

143694 Blankstone Sington Limited Authorised N FSA001

143694 Blankstone Sington Limited Authorised N FSA002

143715 Cave & Sons Limited Authorised N FSA001

143715 Cave & Sons Limited Authorised N FSA002

143893 International Asset Management Ltd Authorised N FSA001

143893 International Asset Management Ltd Authorised N FSA002

144038 Edmond de Rothschild Capital Holdings Limited Authorised N FSA001

144038 Edmond de Rothschild Capital Holdings Limited Authorised N FSA002

144197 IFPC Limited Authorised N FSA001

144197 IFPC Limited Authorised N FSA002

144266 Rathbone Unit Trust Management Limited Authorised N FSA001

144266 Rathbone Unit Trust Management Limited Authorised N FSA002

144267 Kames Capital plc Authorised N FSA001

144267 Kames Capital plc Authorised N FSA002

144331 PIRC Limited Authorised N FSA001

144331 PIRC Limited Authorised N FSA002

144345 FIL Pensions Management Authorised N FSA001

144345 FIL Pensions Management Authorised N FSA002

144519 Pearson Jones Plc Authorised N FSA001

144519 Pearson Jones Plc Authorised N FSA002

144543 Schroder Investment Management North America Limited Authorised N FSA001

144543 Schroder Investment Management North America Limited Authorised N FSA002

144822 Numis Securities Limited Authorised N FSA001

144822 Numis Securities Limited Authorised N FSA002

144827 Seilern Investment Management Ltd Authorised N FSA001

144827 Seilern Investment Management Ltd Authorised N FSA002

144849 Elevate Portfolio Services Limited Authorised N FSA001

144849 Elevate Portfolio Services Limited Authorised N FSA002

145007 Investec Fund Managers Limited Authorised N FSA001

145007 Investec Fund Managers Limited Authorised N FSA002

145008 Richmount Management Limited Authorised N FSA001

145008 Richmount Management Limited Authorised N FSA002

145024 Pinemont Securities Limited Authorised N FSA001

145024 Pinemont Securities Limited Authorised N FSA002

145026 Daniel Stewart & Company Plc Authorised N FSA001

145026 Daniel Stewart & Company Plc Authorised N FSA002

145168 Valu-Trac Investment Management Ltd Authorised N FSA001

145168 Valu-Trac Investment Management Ltd Authorised N FSA002

145242 G M Investment Trustees Limited Authorised N FSA001

145242 G M Investment Trustees Limited Authorised N FSA002

145243 Mitsubishi UFJ Baillie Gifford Asset Management Limited Authorised N FSA001

145243 Mitsubishi UFJ Baillie Gifford Asset Management Limited Authorised N FSA002

145280 Theisen Securities Limited Authorised N FSA001

Page 11: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

145280 Theisen Securities Limited Authorised N FSA002

145540 Capita Life & Pensions Regulated Services Limited Authorised N FSA001

145540 Capita Life & Pensions Regulated Services Limited Authorised N FSA002

145930 Western Asset Management Company Limited Authorised N FSA001

145930 Western Asset Management Company Limited Authorised N FSA002

145958 Headstart Advisers Limited Authorised N FSA001

145958 Headstart Advisers Limited Authorised N FSA002

146000 Deutsche Alternative Asset Management (UK) Limited Authorised N FSA001

146000 Deutsche Alternative Asset Management (UK) Limited Authorised N FSA002

146002 R C Brown Investment Management Plc Authorised N FSA001

146002 R C Brown Investment Management Plc Authorised N FSA002

146274 Dowgate Capital Stockbrokers Limited Authorised N FSA001

146274 Dowgate Capital Stockbrokers Limited Authorised N FSA002

146283 Bessemer Group (U.K.) Limited Authorised N FSA001

146283 Bessemer Group (U.K.) Limited Authorised N FSA002

146287 David Booler & Company Authorised N FSA001

146287 David Booler & Company Authorised N FSA002

146307 BNP Paribas Commodity Futures Ltd Authorised N FSA001

146307 BNP Paribas Commodity Futures Ltd Authorised N FSA002

146311 AMT Futures Limited Authorised N FSA001

146311 AMT Futures Limited Authorised N FSA002

146504 Royal Bank of Canada Investment Management (UK) Ltd Authorised N FSA001

146504 Royal Bank of Canada Investment Management (UK) Ltd Authorised N FSA002

146522 London Court Limited Authorised N FSA001

146522 London Court Limited Authorised N FSA002

146576 Pershing Securities Ltd Authorised N FSA001

146576 Pershing Securities Ltd Authorised N FSA002

146629 Shore Capital and Corporate Limited Authorised N FSA001

146629 Shore Capital and Corporate Limited Authorised N FSA002

146665 State Street Global Advisors Limited Authorised N FSA001

146665 State Street Global Advisors Limited Authorised N FSA002

146768 The Share Centre Limited Authorised N FSA001

146768 The Share Centre Limited Authorised N FSA002

146786 Legal & General (Portfolio Management Services) Ltd Authorised N FSA001

146786 Legal & General (Portfolio Management Services) Ltd Authorised N FSA002

146853 Resilient Fund Managers Ltd Authorised N FSA001

146853 Resilient Fund Managers Ltd Authorised N FSA002

146873 SVM Asset Management Limited Authorised N FSA001

146873 SVM Asset Management Limited Authorised N FSA002

146880 Tullett Prebon (Europe) Limited Authorised N FSA001

146880 Tullett Prebon (Europe) Limited Authorised N FSA002

146908 City One Securities Limited Authorised N FSA001

146908 City One Securities Limited Authorised N FSA002

146961 Maple Securities (UK) Ltd Authorised N FSA001

146961 Maple Securities (UK) Ltd Authorised N FSA002

147083 Lake Asset Management Limited Authorised N FSA001

147083 Lake Asset Management Limited Authorised N FSA002

147088 Aviva Investors UK funds Limited Authorised N FSA001

147088 Aviva Investors UK funds Limited Authorised N FSA002

147091 Tullett Prebon (Equities) Limited Authorised N FSA001

147091 Tullett Prebon (Equities) Limited Authorised N FSA002

147103 Tilney Discretionary Investment Management Limited Authorised N FSA001

147103 Tilney Discretionary Investment Management Limited Authorised N FSA002

147209 Cambria Ltd Authorised N FSA001

147209 Cambria Ltd Authorised N FSA002

147212 Goldman Sachs Asset Management International Authorised N FSA001

147212 Goldman Sachs Asset Management International Authorised N FSA002

147392 Altorfer Financial Management Limited Authorised N FSA001

Page 12: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

147392 Altorfer Financial Management Limited Authorised N FSA002

147406 J O Hambro Capital Management Limited Authorised N FSA001

147406 J O Hambro Capital Management Limited Authorised N FSA002

147475 Lehman Brothers International (Europe) Authorised N FSA001

147475 Lehman Brothers International (Europe) Authorised N FSA002

147518 WDFS Limited Authorised N FSA001

147518 WDFS Limited Authorised N FSA002

147543 Tradition Financial Services Limited Authorised N FSA001

147543 Tradition Financial Services Limited Authorised N FSA002

147603 Minerva Fund Managers Limited Authorised N FSA001

147603 Minerva Fund Managers Limited Authorised N FSA002

147821 Cambridge Fund Managers Ltd Authorised N FSA001

147821 Cambridge Fund Managers Ltd Authorised N FSA002

147956 AllianceBernstein Limited Authorised N FSA001

147956 AllianceBernstein Limited Authorised N FSA002

148002 SL Investment Management Limited Authorised N FSA001

148002 SL Investment Management Limited Authorised N FSA002

148021 Fieldstone Private Capital Group Ltd Authorised N FSA001

148021 Fieldstone Private Capital Group Ltd Authorised N FSA002

148402 Pringles Financial Services Authorised N FSA001

148402 Pringles Financial Services Authorised N FSA002

148462 Charles Taylor Investment Management Company Limited Authorised N FSA001

148462 Charles Taylor Investment Management Company Limited Authorised N FSA002

148474 ADM Investor Services International Limited Authorised N FSA001

148474 ADM Investor Services International Limited Authorised N FSA002

148496 MM Wealth Ltd Authorised N FSA001

148496 MM Wealth Ltd Authorised N FSA002

148527 Elderstreet Investments Limited Authorised N FSA001

148527 Elderstreet Investments Limited Authorised N FSA002

148549 Midven Limited Authorised N FSA001

148549 Midven Limited Authorised N FSA002

148682 Close Investments Limited Authorised N FSA001

148682 Close Investments Limited Authorised N FSA002

148924 Klesch & Company Limited Authorised N FSA001

148924 Klesch & Company Limited Authorised N FSA002

148926 F&C Asset Managers Ltd Authorised N FSA001

148926 F&C Asset Managers Ltd Authorised N FSA002

148927 Anderson Quantrend Limited Authorised N FSA001

148927 Anderson Quantrend Limited Authorised N FSA002

148967 Shinkin International Ltd Authorised N FSA001

148967 Shinkin International Ltd Authorised N FSA002

149145 Queen Street Finance Ltd Authorised N FSA001

149145 Queen Street Finance Ltd Authorised N FSA002

149148 Williams de Broe Limited Authorised N FSA001

149148 Williams de Broe Limited Authorised N FSA002

149240 Mirae Asset Securities (UK) Ltd Authorised N FSA001

149240 Mirae Asset Securities (UK) Ltd Authorised N FSA002

149303 PIMCO Europe Ltd Authorised N FSA001

149303 PIMCO Europe Ltd Authorised N FSA002

149356 Henderson Fund Management Limited Authorised N FSA001

149356 Henderson Fund Management Limited Authorised N FSA002

149380 Cantor Fitzgerald Europe Authorised N FSA001

149380 Cantor Fitzgerald Europe Authorised N FSA002

149444 Ketton Securities Limited Authorised N FSA001

149444 Ketton Securities Limited Authorised N FSA002

149507 Mondrian Investment Partners Limited Authorised N FSA001

149507 Mondrian Investment Partners Limited Authorised N FSA002

149566 UBP Securities(UK) Limited Authorised N FSA001

Page 13: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

149566 UBP Securities(UK) Limited Authorised N FSA002

149699 SUMITOMO MITSUI TRUST (UK) LIMITED Authorised N FSA001

149699 SUMITOMO MITSUI TRUST (UK) LIMITED Authorised N FSA002

149722 Halifax Investment Services Ltd Authorised N FSA001

149722 Halifax Investment Services Ltd Authorised N FSA002

149789 Citicourt & Co Limited Authorised N FSA001

149789 Citicourt & Co Limited Authorised N FSA002

149813 Middlefield International Ltd Authorised N FSA001

149813 Middlefield International Ltd Authorised N FSA002

149970 Hargreaves Lansdown Stockbrokers Limited Authorised N FSA001

149970 Hargreaves Lansdown Stockbrokers Limited Authorised N FSA002

150000 Hermes Investment Management Ltd Authorised N FSA001

150000 Hermes Investment Management Ltd Authorised N FSA002

150100 Dimensional Fund Advisors Ltd Authorised N FSA001

150100 Dimensional Fund Advisors Ltd Authorised N FSA002

150101 Ecofin Ltd Authorised N FSA001

150101 Ecofin Ltd Authorised N FSA002

150142 C.Czarnikow Sugar Futures Ltd Authorised N FSA001

150142 C.Czarnikow Sugar Futures Ltd Authorised N FSA002

150154 Baird Capital Partners Europe Limited Authorised N FSA001

150154 Baird Capital Partners Europe Limited Authorised N FSA002

150233 Baillie Gifford Savings Management Limited Authorised N FSA001

150233 Baillie Gifford Savings Management Limited Authorised N FSA002

150453 Heritage Capital Management Ltd Authorised N FSA001

150453 Heritage Capital Management Ltd Authorised N FSA002

152885 Murdoch Asset Management Limited Authorised N FSA001

152885 Murdoch Asset Management Limited Authorised N FSA002

152998 GHC Capital Markets Ltd Authorised N FSA001

152998 GHC Capital Markets Ltd Authorised N FSA002

153704 The ECU Group Public Limited Company Authorised N FSA001

153704 The ECU Group Public Limited Company Authorised N FSA002

153730 Christchurch Investment Management Limited Authorised N FSA001

153730 Christchurch Investment Management Limited Authorised N FSA002

153860 Blackfinch Investments Limited Authorised N FSA001

153860 Blackfinch Investments Limited Authorised N FSA002

153989 Laver Financial Limited Authorised N FSA001

153989 Laver Financial Limited Authorised N FSA002

154146 Capel Court Plc Authorised N FSA001

154146 Capel Court Plc Authorised N FSA002

154182 City & Merchant Limited Authorised N FSA001

154182 City & Merchant Limited Authorised N FSA002

154210 Abbey Stockbrokers Limited Authorised N FSA001

154210 Abbey Stockbrokers Limited Authorised N FSA002

154234 Tullett Prebon (Securities) Limited Authorised N FSA001

154234 Tullett Prebon (Securities) Limited Authorised N FSA002

154371 A.J. Buckley Asset Management Ltd Authorised N FSA001

154371 A.J. Buckley Asset Management Ltd Authorised N FSA002

154453 Crossborder Capital Limited Authorised N FSA001

154453 Crossborder Capital Limited Authorised N FSA002

154639 State Street Unit Trust Management Ltd Authorised N FSA001

154639 State Street Unit Trust Management Ltd Authorised N FSA002

154697 Objective Completion Limited Authorised N FSA001

154697 Objective Completion Limited Authorised N FSA002

154918 Investacc Limited Authorised N FSA001

154918 Investacc Limited Authorised N FSA002

154925 Newton Investment Management (North America) Limited Authorised N FSA001

154925 Newton Investment Management (North America) Limited Authorised N FSA002

154986 Mr S N Roditi Authorised N FSA001

Page 14: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

154986 Mr S N Roditi Authorised N FSA002

155051 City Equities Limited Authorised N FSA001

155051 City Equities Limited Authorised N FSA002

155097 Care Asset Management Limited Authorised N FSA001

155097 Care Asset Management Limited Authorised N FSA002

155104 Beaufort Securities Limited Authorised N FSA001

155104 Beaufort Securities Limited Authorised N FSA002

155200 Northland Capital Partners Limited Authorised N FSA001

155200 Northland Capital Partners Limited Authorised N FSA002

155201 Arundel Group Limited Authorised N FSA001

155201 Arundel Group Limited Authorised N FSA002

155226 Marks & Spencer Savings and Investments Ltd Authorised N FSA001

155226 Marks & Spencer Savings and Investments Ltd Authorised N FSA002

155241 Rowan Dartington & Co Ltd Authorised N FSA001

155241 Rowan Dartington & Co Ltd Authorised N FSA002

155592 Culross Global Management Limited Authorised N FSA001

155592 Culross Global Management Limited Authorised N FSA002

155593 A J Bell Securities Limited Authorised N FSA001

155593 A J Bell Securities Limited Authorised N FSA002

155595 Gerrard Investment Management Limited Authorised N FSA001

155595 Gerrard Investment Management Limited Authorised N FSA002

158790 VSA Capital Limited Authorised N FSA001

158790 VSA Capital Limited Authorised N FSA002

159263 Sundt & Company Ltd Authorised N FSA001

159263 Sundt & Company Ltd Authorised N FSA002

159360 FIL Investment Advisors (UK) Limited Authorised N FSA001

159360 FIL Investment Advisors (UK) Limited Authorised N FSA002

159366 CBRE Global Investment Partners Limited Authorised N FSA001

159366 CBRE Global Investment Partners Limited Authorised N FSA002

159367 CBRE Indirect Investment Services Limited Authorised N FSA001

159367 CBRE Indirect Investment Services Limited Authorised N FSA002

159466 Full Circle Asset Management Limited Authorised N FSA001

159466 Full Circle Asset Management Limited Authorised N FSA002

160783 Rossie House Investment Management Authorised N FSA001

160783 Rossie House Investment Management Authorised N FSA002

161196 Icap Energy Limited Authorised N FSA001

161196 Icap Energy Limited Authorised N FSA002

161197 BROKERTEC EUROPE LIMITED Authorised N FSA001

161197 BROKERTEC EUROPE LIMITED Authorised N FSA002

161661 Strand Hanson Limited Authorised N FSA001

161661 Strand Hanson Limited Authorised N FSA002

161807 G H Financials Ltd Authorised N FSA001

161807 G H Financials Ltd Authorised N FSA002

163037 CIMB Securities (UK) Ltd Authorised N FSA001

163037 CIMB Securities (UK) Ltd Authorised N FSA002

163241 Grosvenor Investment Management Ltd Authorised N FSA001

163241 Grosvenor Investment Management Ltd Authorised N FSA002

163291 Skerritt Consultants Limited Authorised N FSA001

163291 Skerritt Consultants Limited Authorised N FSA002

163296 Thomas Grant & Co Ltd Authorised N FSA001

163296 Thomas Grant & Co Ltd Authorised N FSA002

163299 London and Oxford Capital Markets Limited Authorised N FSA001

163299 London and Oxford Capital Markets Limited Authorised N FSA002

163504 Beckett Asset Management Limited Authorised N FSA001

163504 Beckett Asset Management Limited Authorised N FSA002

163584 Sarasin Asset Management Ltd Authorised N FSA001

163584 Sarasin Asset Management Ltd Authorised N FSA002

164380 PVM Oil Futures Ltd Authorised N FSA001

Page 15: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

164380 PVM Oil Futures Ltd Authorised N FSA002

164384 Pro Capital Ltd Authorised N FSA001

164384 Pro Capital Ltd Authorised N FSA002

164686 Clubb Capital Limited Authorised N FSA001

164686 Clubb Capital Limited Authorised N FSA002

164689 Swiss Investment Corporation Limited Authorised N FSA001

164689 Swiss Investment Corporation Limited Authorised N FSA002

165169 Tilney Investment Management Services Limited Authorised N FSA001

165169 Tilney Investment Management Services Limited Authorised N FSA002

165172 AMR Financial Management Limited Authorised N FSA001

165172 AMR Financial Management Limited Authorised N FSA002

165328 Manulife Asset Management (Europe) Limited Authorised N FSA001

165328 Manulife Asset Management (Europe) Limited Authorised N FSA002

165359 Old Mutual Wealth Limited Authorised N FSA001

165359 Old Mutual Wealth Limited Authorised N FSA002

165847 Bohler & Associates Ltd Authorised N FSA001

165847 Bohler & Associates Ltd Authorised N FSA002

165999 Slater Investments Ltd Authorised N FSA001

165999 Slater Investments Ltd Authorised N FSA002

166003 Savills Capital Advisors Limited Authorised N FSA001

166003 Savills Capital Advisors Limited Authorised N FSA002

166016 Hargreaves Lansdown Fund Managers Limited Authorised N FSA001

166016 Hargreaves Lansdown Fund Managers Limited Authorised N FSA002

166062 Miller & Co Investment Management Ltd Authorised N FSA001

166062 Miller & Co Investment Management Ltd Authorised N FSA002

166063 Kempen Capital Management (UK) Limited Authorised N FSA001

166063 Kempen Capital Management (UK) Limited Authorised N FSA002

166064 Herald Investment Management Limited Authorised N FSA001

166064 Herald Investment Management Limited Authorised N FSA002

169586 Capita Financial Investments Limited Authorised N FSA001

169586 Capita Financial Investments Limited Authorised N FSA002

169760 King & Shaxson Capital Limited Authorised N FSA001

169760 King & Shaxson Capital Limited Authorised N FSA002

169805 Finantia UK Limited Authorised N FSA001

169805 Finantia UK Limited Authorised N FSA002

169910 City of London Investment Management Company Ltd Authorised N FSA001

169910 City of London Investment Management Company Ltd Authorised N FSA002

170053 Sciens Capital Limited Authorised N FSA001

170053 Sciens Capital Limited Authorised N FSA002

170064 BNP Paribas Investment Partners UK Limited Authorised N FSA001

170064 BNP Paribas Investment Partners UK Limited Authorised N FSA002

170423 HSBC Alternative Investments Limited Authorised N FSA001

170423 HSBC Alternative Investments Limited Authorised N FSA002

170435 TT International Authorised N FSA001

170435 TT International Authorised N FSA002

170443 Delmore Asset Management Ltd Authorised N FSA001

170443 Delmore Asset Management Ltd Authorised N FSA002

170476 Guyon Capital Management Limited Authorised N FSA001

170476 Guyon Capital Management Limited Authorised N FSA002

170479 BB Securities Ltd Authorised N FSA001

170479 BB Securities Ltd Authorised N FSA002

170601 Baring Asset Management Limited Authorised N FSA001

170601 Baring Asset Management Limited Authorised N FSA002

170627 CMC Spreadbet Plc Authorised N FSA001

170627 CMC Spreadbet Plc Authorised N FSA002

170759 Gordian Knot Limited Authorised N FSA001

170759 Gordian Knot Limited Authorised N FSA002

170913 Aldbourne Investment Management Limited Authorised N FSA001

Page 16: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

170913 Aldbourne Investment Management Limited Authorised N FSA002

170924 Investindustrial Advisors Limited Authorised N FSA001

170924 Investindustrial Advisors Limited Authorised N FSA002

170937 BMO Capital Markets Limited Authorised N FSA001

170937 BMO Capital Markets Limited Authorised N FSA002

170942 Notz Stucki (London) Limited Authorised N FSA001

170942 Notz Stucki (London) Limited Authorised N FSA002

171039 Millennium Global Investments Limited Authorised N FSA001

171039 Millennium Global Investments Limited Authorised N FSA002

171195 Blue Planet Investment Advisers Ltd Authorised N FSA001

171195 Blue Planet Investment Advisers Ltd Authorised N FSA002

171200 Pacific Capital Partners Limited Authorised N FSA001

171200 Pacific Capital Partners Limited Authorised N FSA002

171201 Industrial Common Ownership Finance Ltd Authorised N FSA001

171201 Industrial Common Ownership Finance Ltd Authorised N FSA002

171279 Fieldings Investment Management Ltd Authorised N FSA001

171279 Fieldings Investment Management Ltd Authorised N FSA002

171447 Monument Asset Management Limited Authorised N FSA001

171447 Monument Asset Management Limited Authorised N FSA002

171448 Santander ISA Managers Limited Authorised N FSA001

171448 Santander ISA Managers Limited Authorised N FSA002

171458 Partner Capital Limited Authorised N FSA001

171458 Partner Capital Limited Authorised N FSA002

171459 MMC Securities (Europe) Limited Authorised N FSA001

171459 MMC Securities (Europe) Limited Authorised N FSA002

171480 CFS Portfolio Management Limited Authorised N FSA001

171480 CFS Portfolio Management Limited Authorised N FSA002

171483 Fraser Finance Limited Authorised N FSA001

171483 Fraser Finance Limited Authorised N FSA002

171487 Walbrook Capital Markets Limited Authorised N FSA001

171487 Walbrook Capital Markets Limited Authorised N FSA002

171646 Belgrave Capital Management Ltd Authorised N FSA001

171646 Belgrave Capital Management Ltd Authorised N FSA002

171748 Virgin Money Unit Trust Managers Ltd Authorised N FSA001

171748 Virgin Money Unit Trust Managers Ltd Authorised N FSA002

171837 Kotak Mahindra (UK) Limited Authorised N FSA001

171837 Kotak Mahindra (UK) Limited Authorised N FSA002

171846 Fund Advisors (UK) Limited Authorised N FSA001

171846 Fund Advisors (UK) Limited Authorised N FSA002

171847 Old Mutual Global Investors (UK) Limited Authorised N FSA001

171847 Old Mutual Global Investors (UK) Limited Authorised N FSA002

171880 Family PEP Managers Limited Authorised N FSA001

171880 Family PEP Managers Limited Authorised N FSA002

171935 SMBC Nikko Capital Markets Limited Authorised N FSA001

171935 SMBC Nikko Capital Markets Limited Authorised N FSA002

171941 Shell International Trading and Shipping Company Limited Authorised N FSA001

171941 Shell International Trading and Shipping Company Limited Authorised N FSA002

171982 Atlantis Investment Management Limited Authorised N FSA001

171982 Atlantis Investment Management Limited Authorised N FSA002

172071 PRICOA Capital Group Limited Authorised N FSA001

172071 PRICOA Capital Group Limited Authorised N FSA002

172073 SMBC Derivative Products Limited Authorised N FSA001

172073 SMBC Derivative Products Limited Authorised N FSA002

172074 Korea Investment & Securities Europe Ltd. Authorised N FSA001

172074 Korea Investment & Securities Europe Ltd. Authorised N FSA002

172327 Nacional Financiera SNC Authorised N FSA002

172337 Arlington Group Asset Management Limited Authorised N FSA001

172337 Arlington Group Asset Management Limited Authorised N FSA002

Page 17: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

172759 Oechsle International Advisors Limited Authorised N FSA001

172759 Oechsle International Advisors Limited Authorised N FSA002

172801 Parallel Investment Management Ltd Authorised N FSA001

172801 Parallel Investment Management Ltd Authorised N FSA002

172999 Charlemagne Capital (UK) Limited Authorised N FSA001

172999 Charlemagne Capital (UK) Limited Authorised N FSA002

173030 TD Securities Limited Authorised N FSA001

173030 TD Securities Limited Authorised N FSA002

173730 CMC Markets UK plc Authorised N FSA001

173730 CMC Markets UK plc Authorised N FSA002

174730 Investment Services UK Limited Authorised N FSA001

174730 Investment Services UK Limited Authorised N FSA002

174863 Kyte Broking Limited Authorised N FSA001

174863 Kyte Broking Limited Authorised N FSA002

175451 Epworth Investment Management Limited Authorised N FSA001

175451 Epworth Investment Management Limited Authorised N FSA002

175524 Caerus Portfolio Management Limited Authorised N FSA001

175524 Caerus Portfolio Management Limited Authorised N FSA002

175591 Capital Ventures Limited Authorised N FSA001

175591 Capital Ventures Limited Authorised N FSA002

175853 Daiwa Corporate Advisory Limited Authorised N FSA001

175853 Daiwa Corporate Advisory Limited Authorised N FSA002

176483 Exane Limited Authorised N FSA001

176483 Exane Limited Authorised N FSA002

176484 Quality Capital Management Limited Authorised N FSA001

176484 Quality Capital Management Limited Authorised N FSA002

176498 Capital Trust Financial Management LTD Authorised N FSA001

176498 Capital Trust Financial Management LTD Authorised N FSA002

176507 Investment & Portfolio Consultants Limited Authorised N FSA001

176507 Investment & Portfolio Consultants Limited Authorised N FSA002

176508 CROWD FOR ANGELS (UK) LIMITED Authorised N FSA001

176508 CROWD FOR ANGELS (UK) LIMITED Authorised N FSA002

176763 LGM Investments Limited Authorised N FSA001

176763 LGM Investments Limited Authorised N FSA002

176984 European Wealth Trading Ltd Authorised N FSA001

176984 European Wealth Trading Ltd Authorised N FSA002

177030 Sand Aire Limited Authorised N FSA001

177030 Sand Aire Limited Authorised N FSA002

177896 F&C Investment Business Limited Authorised N FSA001

177896 F&C Investment Business Limited Authorised N FSA002

178638 BlackRock International, Limited Authorised N FSA001

178638 BlackRock International, Limited Authorised N FSA002

178718 Soditic Limited Authorised N FSA001

178718 Soditic Limited Authorised N FSA002

178723 Union Investment Management Limited Authorised N FSA001

178723 Union Investment Management Limited Authorised N FSA002

178733 Bryan Garnier & Co Limited Authorised N FSA001

178733 Bryan Garnier & Co Limited Authorised N FSA002

178744 BASF Metal Forwards Limited Authorised N FSA001

178744 BASF Metal Forwards Limited Authorised N FSA002

178888 Mars Asset Management Limited Authorised N FSA001

178888 Mars Asset Management Limited Authorised N FSA002

179213 King & Shaxson Limited Authorised N FSA001

179213 King & Shaxson Limited Authorised N FSA002

179271 Virgin Money Personal Financial Service Ltd Authorised N FSA001

179271 Virgin Money Personal Financial Service Ltd Authorised N FSA002

179391 Clarksons Platou Futures Limited Authorised N FSA001

179391 Clarksons Platou Futures Limited Authorised N FSA002

Page 18: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

179392 Emergent Asset Management Limited Authorised N FSA001

179392 Emergent Asset Management Limited Authorised N FSA002

179466 LaSalle Investment Management Authorised N FSA001

179466 LaSalle Investment Management Authorised N FSA002

179506 Samsung Securities (Europe) Limited Authorised N FSA001

179506 Samsung Securities (Europe) Limited Authorised N FSA002

179712 CBRE Global Investors (UK Funds) Limited Authorised N FSA001

179712 CBRE Global Investors (UK Funds) Limited Authorised N FSA002

179731 Blevins Franks Financial Management Limited Authorised N FSA001

179731 Blevins Franks Financial Management Limited Authorised N FSA002

180309 MPL Wealth Management Limited Authorised N FSA001

180309 MPL Wealth Management Limited Authorised N FSA002

180462 Hydra Capital Management Limited Authorised N FSA001

180462 Hydra Capital Management Limited Authorised N FSA002

180563 Smith & Williamson Financial Services Limited Authorised N FSA001

180563 Smith & Williamson Financial Services Limited Authorised N FSA002

180892 Blackfriars Asset Management Limited Authorised N FSA001

180892 Blackfriars Asset Management Limited Authorised N FSA002

181136 MFS International (UK) Limited Authorised N FSA001

181136 MFS International (UK) Limited Authorised N FSA002

181192 Optiva Securities Limited Authorised N FSA001

181192 Optiva Securities Limited Authorised N FSA002

181389 PGIM FUND MANAGEMENT LIMITED Authorised N FSA001

181389 PGIM FUND MANAGEMENT LIMITED Authorised N FSA002

181522 Omnia Asset Management Limited Authorised N FSA001

181522 Omnia Asset Management Limited Authorised N FSA002

181602 SSY Futures Limited Authorised N FSA001

181602 SSY Futures Limited Authorised N FSA002

181608 Bryan Garnier Asset Management Limited Authorised N FSA001

181608 Bryan Garnier Asset Management Limited Authorised N FSA002

181653 C-View Limited Authorised N FSA001

181653 C-View Limited Authorised N FSA002

181768 Philip J Milton & Company Plc Authorised N FSA001

181768 Philip J Milton & Company Plc Authorised N FSA002

181966 Pictet Asset Management Limited Authorised N FSA001

181966 Pictet Asset Management Limited Authorised N FSA002

182008 Willis Capital Markets & Advisory Limited Authorised N FSA001

182008 Willis Capital Markets & Advisory Limited Authorised N FSA002

182011 Canaccord Genuity Limited Authorised N FSA001

182011 Canaccord Genuity Limited Authorised N FSA002

182064 Bank of China International (UK) Ltd Authorised N FSA001

182064 Bank of China International (UK) Ltd Authorised N FSA002

182109 Currency Insight Limited Authorised N FSA001

182109 Currency Insight Limited Authorised N FSA002

182110 London Capital Group Ltd Authorised N FSA001

182110 London Capital Group Ltd Authorised N FSA002

182644 Mazars Financial Planning Limited Authorised N FSA001

182644 Mazars Financial Planning Limited Authorised N FSA002

183210 Dewhurst Torevell & Co Limited Authorised N FSA001

183210 Dewhurst Torevell & Co Limited Authorised N FSA002

183211 Montanaro Asset Management Limited Authorised N FSA001

183211 Montanaro Asset Management Limited Authorised N FSA002

183239 Alta Advisers Limited Authorised N FSA001

183239 Alta Advisers Limited Authorised N FSA002

183332 Halifax Share Dealing Limited Authorised N FSA001

183332 Halifax Share Dealing Limited Authorised N FSA002

183361 UTI International Limited Authorised N FSA001

183361 UTI International Limited Authorised N FSA002

Page 19: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

183641 Delcap Asset Management Limited Authorised N FSA001

183641 Delcap Asset Management Limited Authorised N FSA002

183732 NCM Fund Services Limited Authorised N FSA001

183732 NCM Fund Services Limited Authorised N FSA002

183760 AGI Corporate Finance Limited Authorised N FSA001

183760 AGI Corporate Finance Limited Authorised N FSA002

183766 Bradshaw Asset Management Limited Authorised N FSA001

183766 Bradshaw Asset Management Limited Authorised N FSA002

183887 Woolwich Plan Managers Limited Authorised N FSA001

183887 Woolwich Plan Managers Limited Authorised N FSA002

183924 Financial Risk Management Limited Authorised N FSA001

183924 Financial Risk Management Limited Authorised N FSA002

184113 Capita IRG Trustees Limited Authorised N FSA001

184113 Capita IRG Trustees Limited Authorised N FSA002

184115 Independent Portfolio Managers Ltd Authorised N FSA001

184115 Independent Portfolio Managers Ltd Authorised N FSA002

184116 Argyle Investment Advisors Limited Authorised N FSA001

184116 Argyle Investment Advisors Limited Authorised N FSA002

184256 Britannic Energy Trading Limited Authorised N FSA001

184256 Britannic Energy Trading Limited Authorised N FSA002

184258 Winton Capital Management Limited Authorised N FSA001

184258 Winton Capital Management Limited Authorised N FSA002

184330 Hermes Alternative Investment Management Limited Authorised N FSA001

184330 Hermes Alternative Investment Management Limited Authorised N FSA002

184333 Ayondo Markets Limited Authorised N FSA001

184333 Ayondo Markets Limited Authorised N FSA002

184658 McCarthy Taylor Limited Authorised N FSA001

184658 McCarthy Taylor Limited Authorised N FSA002

184753 Beaumont Cornish Limited Authorised N FSA001

184753 Beaumont Cornish Limited Authorised N FSA002

184761 Peterhouse Corporate Finance Limited Authorised N FSA001

184761 Peterhouse Corporate Finance Limited Authorised N FSA002

184786 GFI Brokers Limited Authorised N FSA001

184786 GFI Brokers Limited Authorised N FSA002

184801 GFI Securities Limited Authorised N FSA001

184801 GFI Securities Limited Authorised N FSA002

184882 Koch Metals Trading Limited Authorised N FSA001

184882 Koch Metals Trading Limited Authorised N FSA002

184918 Brooks Macdonald Asset Management Limited Authorised N FSA001

184918 Brooks Macdonald Asset Management Limited Authorised N FSA002

184919 Hasan Financial Corporation Limited Authorised N FSA001

184919 Hasan Financial Corporation Limited Authorised N FSA002

185178 Knox D'Arcy Investment Management Limited Authorised N FSA001

185178 Knox D'Arcy Investment Management Limited Authorised N FSA002

185223 Goldenway Global Investments (UK) Limited Authorised N FSA001

185223 Goldenway Global Investments (UK) Limited Authorised N FSA002

185325 Equity Development Limited Authorised N FSA001

185325 Equity Development Limited Authorised N FSA002

185402 Ashmore Investment Management Limited Authorised N FSA001

185402 Ashmore Investment Management Limited Authorised N FSA002

185483 PAN Associates Authorised N FSA001

185483 PAN Associates Authorised N FSA002

185621 GLG Partners UK Limited Authorised N FSA001

185621 GLG Partners UK Limited Authorised N FSA002

185637 Man Solutions Limited Authorised N FSA001

185637 Man Solutions Limited Authorised N FSA002

185778 Money Wise Independent Financial Advisers Limited Authorised N FSA001

185778 Money Wise Independent Financial Advisers Limited Authorised N FSA002

Page 20: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

185917 Chelverton Asset Management Limited Authorised N FSA001

185917 Chelverton Asset Management Limited Authorised N FSA002

185967 Forum Capital International Limited Authorised N FSA001

185967 Forum Capital International Limited Authorised N FSA002

186033 Traderight Limited Authorised N FSA001

186033 Traderight Limited Authorised N FSA002

186093 GLG Partners LP Authorised N FSA001

186093 GLG Partners LP Authorised N FSA002

186147 Asset Management One International Ltd. Authorised N FSA001

186147 Asset Management One International Ltd. Authorised N FSA002

186171 Henyep Capital Markets (UK) Limited Authorised N FSA001

186171 Henyep Capital Markets (UK) Limited Authorised N FSA002

186237 State Street Trustees Limited Authorised N FSA001

186237 State Street Trustees Limited Authorised N FSA002

186542 SISU Capital Limited Authorised N FSA001

186542 SISU Capital Limited Authorised N FSA002

186616 Smith & Pinching Financial Services Ltd Authorised N FSA001

186616 Smith & Pinching Financial Services Ltd Authorised N FSA002

186618 Royal Bank of Canada Investment Management (USA) Limited Authorised N FSA001

186618 Royal Bank of Canada Investment Management (USA) Limited Authorised N FSA002

186740 Pictet Global Markets (UK) Limited Authorised N FSA001

186740 Pictet Global Markets (UK) Limited Authorised N FSA002

186745 Wells Fargo Securities International Limited Authorised N FSA001

186745 Wells Fargo Securities International Limited Authorised N FSA002

186761 Doherty Pension & Investment Consultancy Limited Authorised N FSA001

186761 Doherty Pension & Investment Consultancy Limited Authorised N FSA002

186764 The Link Asset and Securities Company Limited Authorised N FSA001

186764 The Link Asset and Securities Company Limited Authorised N FSA002

186814 Aon Securities Limited Authorised N FSA001

186814 Aon Securities Limited Authorised N FSA002

186871 Phoenix Asset Management Partners Limited Authorised N FSA001

186871 Phoenix Asset Management Partners Limited Authorised N FSA002

186882 THESIS Unit Trust Management Limited Authorised N FSA001

186882 THESIS Unit Trust Management Limited Authorised N FSA002

186883 Windmill Hill Asset Management Limited Authorised N FSA001

186883 Windmill Hill Asset Management Limited Authorised N FSA002

186891 Renaissance Capital Limited Authorised N FSA001

186891 Renaissance Capital Limited Authorised N FSA002

187358 State Street Europe Limited Authorised N FSA001

187358 State Street Europe Limited Authorised N FSA002

187359 Falcon Private Wealth Limited Authorised N FSA001

187359 Falcon Private Wealth Limited Authorised N FSA002

187419 Pavilion Alternatives Group Limited Authorised N FSA001

187419 Pavilion Alternatives Group Limited Authorised N FSA002

187492 Bloomberg Tradebook Europe Limited Authorised N FSA001

187492 Bloomberg Tradebook Europe Limited Authorised N FSA002

187498 Strenuus Capital Ltd Authorised N FSA001

187498 Strenuus Capital Ltd Authorised N FSA002

187629 EC Hambro Rabben & Partners Ltd Authorised N FSA001

187629 EC Hambro Rabben & Partners Ltd Authorised N FSA002

187846 Ibex Commodities Limited Authorised N FSA001

187846 Ibex Commodities Limited Authorised N FSA002

187863 Swiss Re Capital Markets Limited Authorised N FSA001

187863 Swiss Re Capital Markets Limited Authorised N FSA002

188130 Amius Limited Authorised N FSA001

188130 Amius Limited Authorised N FSA002

188139 Advicorp Public Limited Company Authorised N FSA001

188139 Advicorp Public Limited Company Authorised N FSA002

Page 21: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

188146 K & R Partners Limited Authorised N FSA001

188146 K & R Partners Limited Authorised N FSA002

188244 Raymond James Financial International Limited Authorised N FSA001

188244 Raymond James Financial International Limited Authorised N FSA002

188391 RL Marketing (CIS) Limited Authorised N FSA001

188391 RL Marketing (CIS) Limited Authorised N FSA002

188395 Aspect Capital Limited Authorised N FSA001

188395 Aspect Capital Limited Authorised N FSA002

188406 Standard Life Investments Limited Authorised N FSA001

188406 Standard Life Investments Limited Authorised N FSA002

188523 AXA Investment Managers GS Limited Authorised N FSA001

188523 AXA Investment Managers GS Limited Authorised N FSA002

188534 Computershare Investor Services Plc Authorised N FSA001

188534 Computershare Investor Services Plc Authorised N FSA002

188536 Saracen Fund Managers Limited Authorised N FSA001

188536 Saracen Fund Managers Limited Authorised N FSA002

188574 Ennismore Fund Management Limited Authorised N FSA001

188574 Ennismore Fund Management Limited Authorised N FSA002

188586 MICL Limited Authorised N FSA001

188586 MICL Limited Authorised N FSA002

188594 Future Value Consultants Limited Authorised N FSA001

188594 Future Value Consultants Limited Authorised N FSA002

188624 XBZ Limited Authorised N FSA001

188624 XBZ Limited Authorised N FSA002

188741 Arcus Investment Limited Authorised N FSA001

188741 Arcus Investment Limited Authorised N FSA002

188753 Direct Sharedeal Ltd Authorised N FSA001

188753 Direct Sharedeal Ltd Authorised N FSA002

188757 Rometsch & Moor Limited Authorised N FSA001

188757 Rometsch & Moor Limited Authorised N FSA002

188796 Standard Life Savings Limited Authorised N FSA001

188796 Standard Life Savings Limited Authorised N FSA002

188804 Trident Trust Company (UK) Limited Authorised N FSA001

188804 Trident Trust Company (UK) Limited Authorised N FSA002

188821 Kinmont Limited Authorised N FSA001

188821 Kinmont Limited Authorised N FSA002

188832 Scottish Friendly Asset Managers Limited Authorised N FSA001

188832 Scottish Friendly Asset Managers Limited Authorised N FSA002

188889 Threadneedle Navigator ISA Manager Limited Authorised N FSA001

188889 Threadneedle Navigator ISA Manager Limited Authorised N FSA002

188924 EuroMTS Limited Authorised N FSA001

188924 EuroMTS Limited Authorised N FSA002

188984 ICAP Europe Limited Authorised N FSA001

188984 ICAP Europe Limited Authorised N FSA002

188997 Nippon Life Schroders Asset Management Europe Limited Authorised N FSA001

188997 Nippon Life Schroders Asset Management Europe Limited Authorised N FSA002

189068 William Blair International Limited Authorised N FSA001

189068 William Blair International Limited Authorised N FSA002

189090 KCG Europe Limited Authorised N FSA001

189090 KCG Europe Limited Authorised N FSA002

189093 Prospect Investment Management Limited Authorised N FSA001

189093 Prospect Investment Management Limited Authorised N FSA002

189154 RBC Global Asset Management (UK) Limited Authorised N FSA001

189154 RBC Global Asset Management (UK) Limited Authorised N FSA002

189170 Plutusgroup Ltd Authorised N FSA001

189170 Plutusgroup Ltd Authorised N FSA002

189174 Lord North Street Limited Authorised N FSA001

189174 Lord North Street Limited Authorised N FSA002

Page 22: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

189175 Wilmington Capital Limited Authorised N FSA001

189175 Wilmington Capital Limited Authorised N FSA002

189219 James Brearley & Sons Limited Authorised N FSA001

189219 James Brearley & Sons Limited Authorised N FSA002

189221 Shackleton Finance Limited Authorised N FSA001

189221 Shackleton Finance Limited Authorised N FSA002

189239 Pentagon Capital Management Plc Authorised N FSA001

189239 Pentagon Capital Management Plc Authorised N FSA002

189302 City Financial Investment Company Limited Authorised N FSA001

189302 City Financial Investment Company Limited Authorised N FSA002

189316 Conning Asset Management Limited Authorised N FSA001

189316 Conning Asset Management Limited Authorised N FSA002

189330 Entrustpermal Ltd. Authorised N FSA001

189330 Entrustpermal Ltd. Authorised N FSA002

189419 Morant Wright Management Limited Authorised N FSA001

189419 Morant Wright Management Limited Authorised N FSA002

189431 Poyry Capital Limited Authorised N FSA001

189431 Poyry Capital Limited Authorised N FSA002

189433 Gryphon Emerging Markets Limited Authorised N FSA001

189433 Gryphon Emerging Markets Limited Authorised N FSA002

189436 Kairos Investment Management Limited Authorised N FSA001

189436 Kairos Investment Management Limited Authorised N FSA002

189452 LENDLEASE REAL ESTATE INVESTMENTS (EUROPE) LIMITED Authorised N FSA001

189452 LENDLEASE REAL ESTATE INVESTMENTS (EUROPE) LIMITED Authorised N FSA002

189560 SpreadZero Limited Authorised N FSA001

189560 SpreadZero Limited Authorised N FSA002

189570 Black Kettle International Limited Authorised N FSA001

189570 Black Kettle International Limited Authorised N FSA002

189829 Thomas Miller Investment Ltd Authorised N FSA001

189829 Thomas Miller Investment Ltd Authorised N FSA002

189905 Citco REIF Services UK Limited Authorised N FSA001

189905 Citco REIF Services UK Limited Authorised N FSA002

189955 Intermediate Capital Managers Limited Authorised N FSA001

189955 Intermediate Capital Managers Limited Authorised N FSA002

189958 Market Dynamics UK Limited Authorised N FSA001

189958 Market Dynamics UK Limited Authorised N FSA002

189983 Toyota Tsusho Metals Limited Authorised N FSA001

189983 Toyota Tsusho Metals Limited Authorised N FSA002

189997 Tilney Asset Management Services Limited Authorised N FSA001

189997 Tilney Asset Management Services Limited Authorised N FSA002

189998 Janus Capital International Limited Authorised N FSA001

189998 Janus Capital International Limited Authorised N FSA002

190011 Wallwood Consultants Limited Authorised N FSA001

190011 Wallwood Consultants Limited Authorised N FSA002

190012 Arbor Research & Trading UK Limited Authorised N FSA001

190012 Arbor Research & Trading UK Limited Authorised N FSA002

190057 Simmons & Company International Limited Authorised N FSA001

190057 Simmons & Company International Limited Authorised N FSA002

190064 Schroder Real Estate Investment Management Limited Authorised N FSA001

190064 Schroder Real Estate Investment Management Limited Authorised N FSA002

190249 Starmark Investment Management Limited Authorised N FSA001

190249 Starmark Investment Management Limited Authorised N FSA002

190250 International Advisory Partners Limited Authorised N FSA001

190250 International Advisory Partners Limited Authorised N FSA002

190254 RAB Capital Limited Authorised N FSA001

190254 RAB Capital Limited Authorised N FSA002

190256 Midtown Investments Limited Authorised N FSA001

190256 Midtown Investments Limited Authorised N FSA002

Page 23: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

190258 NGAM UK Limited Authorised N FSA001

190258 NGAM UK Limited Authorised N FSA002

190266 Brown Brothers Harriman Investor Services Ltd Authorised N FSA001

190266 Brown Brothers Harriman Investor Services Ltd Authorised N FSA002

190267 Payden & Rygel Global Limited Authorised N FSA001

190267 Payden & Rygel Global Limited Authorised N FSA002

190290 Galaxy Asset Management Ltd Authorised N FSA001

190290 Galaxy Asset Management Ltd Authorised N FSA002

190291 T. Bailey Asset Management Limited Authorised N FSA001

190291 T. Bailey Asset Management Limited Authorised N FSA002

190412 Stifel Nicolaus Europe Limited Authorised N FSA001

190412 Stifel Nicolaus Europe Limited Authorised N FSA002

190548 Church House Investments Limited Authorised N FSA001

190548 Church House Investments Limited Authorised N FSA002

190551 Interactive Investor Trading Limited Authorised N FSA001

190551 Interactive Investor Trading Limited Authorised N FSA002

190602 Avalon Investment Services Limited Authorised N FSA001

190602 Avalon Investment Services Limited Authorised N FSA002

190607 IWI FUND MANAGEMENT LIMITED Authorised N FSA001

190607 IWI FUND MANAGEMENT LIMITED Authorised N FSA002

190608 ECM Asset Management Limited Authorised N FSA001

190608 ECM Asset Management Limited Authorised N FSA002

190632 Tradition London Clearing Ltd Authorised N FSA001

190632 Tradition London Clearing Ltd Authorised N FSA002

190653 WeatherXchange Limited Authorised N FSA001

190653 WeatherXchange Limited Authorised N FSA002

190662 Och-Ziff Management Europe Limited Authorised N FSA001

190662 Och-Ziff Management Europe Limited Authorised N FSA002

190699 Credo Corporate Finance Limited Authorised N FSA001

190699 Credo Corporate Finance Limited Authorised N FSA002

190748 Stenham Asset Management (UK) Plc Authorised N FSA001

190748 Stenham Asset Management (UK) Plc Authorised N FSA002

190780 First Global (UK) Limited Authorised N FSA001

190780 First Global (UK) Limited Authorised N FSA002

190782 Spinnaker Capital Limited Authorised N FSA001

190782 Spinnaker Capital Limited Authorised N FSA002

190828 Platinum Capital Management Limited Authorised N FSA001

190828 Platinum Capital Management Limited Authorised N FSA002

190856 Integrated Financial Arrangements LTD Authorised N FSA001

190856 Integrated Financial Arrangements LTD Authorised N FSA002

190860 ARC Fund Management Limited Authorised N FSA001

190860 ARC Fund Management Limited Authorised N FSA002

190864 Gain Capital - Forex.Com UK Limited Authorised N FSA001

190864 Gain Capital - Forex.Com UK Limited Authorised N FSA002

190911 Guy Butler Limited Authorised N FSA001

190911 Guy Butler Limited Authorised N FSA002

190941 Spreadex Limited Authorised N FSA001

190941 Spreadex Limited Authorised N FSA002

190987 Jesus J Mora Del Rio Authorised N FSA001

190987 Jesus J Mora Del Rio Authorised N FSA002

191005 Colchester Global Investors Limited Authorised N FSA001

191005 Colchester Global Investors Limited Authorised N FSA002

191074 Avior Capital Markets International Limited Authorised N FSA001

191074 Avior Capital Markets International Limited Authorised N FSA002

191115 Sanford C. Bernstein Limited Authorised N FSA001

191115 Sanford C. Bernstein Limited Authorised N FSA002

191120 Principal Global Investors (Europe) Limited Authorised N FSA001

191120 Principal Global Investors (Europe) Limited Authorised N FSA002

Page 24: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

191123 N W Brown & Company Limited Authorised N FSA001

191123 N W Brown & Company Limited Authorised N FSA002

191231 Metropol (UK) Limited Authorised N FSA001

191231 Metropol (UK) Limited Authorised N FSA002

191237 Royal London Savings Limited Authorised N FSA001

191237 Royal London Savings Limited Authorised N FSA002

191261 SinoPac Securities (Europe) Limited Authorised N FSA001

191261 SinoPac Securities (Europe) Limited Authorised N FSA002

191278 Sterling ISA Managers Limited Authorised N FSA001

191278 Sterling ISA Managers Limited Authorised N FSA002

191287 Evans Randall Investment Management Limited Authorised N FSA001

191287 Evans Randall Investment Management Limited Authorised N FSA002

191383 Harrington Wood Bath Limited Authorised N FSA001

191383 Harrington Wood Bath Limited Authorised N FSA002

191521 Integral Asset Management Ltd Authorised N FSA001

191521 Integral Asset Management Ltd Authorised N FSA002

191609 Fisher Investments Europe Limited Authorised N FSA001

191609 Fisher Investments Europe Limited Authorised N FSA002

191657 Piper Jaffray Ltd Authorised N FSA001

191657 Piper Jaffray Ltd Authorised N FSA002

191660 Idealing.com Limited Authorised N FSA001

191660 Idealing.com Limited Authorised N FSA002

191713 SEI Investments (Europe) Limited Authorised N FSA001

191713 SEI Investments (Europe) Limited Authorised N FSA002

191714 Duet Asset Management Limited Authorised N FSA001

191714 Duet Asset Management Limited Authorised N FSA002

191751 Hathaway Investment Management Limited Authorised N FSA001

191751 Hathaway Investment Management Limited Authorised N FSA002

191757 ICAP Global Derivatives Limited Authorised N FSA001

191757 ICAP Global Derivatives Limited Authorised N FSA002

191763 Stargate Capital Management Limited Authorised N FSA001

191763 Stargate Capital Management Limited Authorised N FSA002

191857 Euro-IB Limited Authorised N FSA001

191857 Euro-IB Limited Authorised N FSA002

191914 Progressive Value Management Limited Authorised N FSA001

191914 Progressive Value Management Limited Authorised N FSA002

191916 Northern Trust Global Investments Limited Authorised N FSA001

191916 Northern Trust Global Investments Limited Authorised N FSA002

191918 De Brae Investment Management Limited Authorised N FSA001

191918 De Brae Investment Management Limited Authorised N FSA002

191919 Star Capital Partners Limited Authorised N FSA001

191919 Star Capital Partners Limited Authorised N FSA002

192017 Mulvaney Capital Management Limited Authorised N FSA001

192017 Mulvaney Capital Management Limited Authorised N FSA002

192141 Unigestion (UK) Limited Authorised N FSA001

192141 Unigestion (UK) Limited Authorised N FSA002

192162 Rasini Fairway Capital Ltd Authorised N FSA001

192162 Rasini Fairway Capital Ltd Authorised N FSA002

192163 Black Diamond Capital Management Limited Authorised N FSA001

192163 Black Diamond Capital Management Limited Authorised N FSA002

192164 Unicorn Asset Management Limited Authorised N FSA001

192164 Unicorn Asset Management Limited Authorised N FSA002

192203 Committed Capital Financial Services Limited Authorised N FSA001

192203 Committed Capital Financial Services Limited Authorised N FSA002

192204 Credo Capital Plc Authorised N FSA001

192204 Credo Capital Plc Authorised N FSA002

192261 Muzinich & Co. Limited Authorised N FSA001

192261 Muzinich & Co. Limited Authorised N FSA002

Page 25: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

192356 Clear Markets Europe Limited Authorised N FSA001

192356 Clear Markets Europe Limited Authorised N FSA002

192403 ACPI Investments Limited Authorised N FSA001

192403 ACPI Investments Limited Authorised N FSA002

192676 RWC Partners Limited Authorised N FSA001

192676 RWC Partners Limited Authorised N FSA002

192798 Centaurus Capital Limited Authorised N FSA001

192798 Centaurus Capital Limited Authorised N FSA002

192799 Highbridge Capital Management (UK) Limited Authorised N FSA001

192799 Highbridge Capital Management (UK) Limited Authorised N FSA002

192815 Hartmann Capital Limited Authorised N FSA001

192815 Hartmann Capital Limited Authorised N FSA002

192936 Algo Capital Management Limited Authorised N FSA001

192936 Algo Capital Management Limited Authorised N FSA002

192937 Pradera Limited Authorised N FSA001

192937 Pradera Limited Authorised N FSA002

193023 Eastwood Anglo Corporate Finance Limited Authorised N FSA001

193023 Eastwood Anglo Corporate Finance Limited Authorised N FSA002

193027 Marex Spectron International Limited Authorised N FSA001

193027 Marex Spectron International Limited Authorised N FSA002

193030 Kerford Investments (UK) Limited Authorised N FSA001

193030 Kerford Investments (UK) Limited Authorised N FSA002

193171 MJ Hudson Fund Management Limited Authorised N FSA001

193171 MJ Hudson Fund Management Limited Authorised N FSA002

193418 PGIM LIMITED Authorised N FSA001

193418 PGIM LIMITED Authorised N FSA002

193700 Newscape Capital Group Limited Authorised N FSA001

193700 Newscape Capital Group Limited Authorised N FSA002

193704 MMC Ventures Limited Authorised N FSA001

193704 MMC Ventures Limited Authorised N FSA002

193705 Tradeweb Europe Limited Authorised N FSA001

193705 Tradeweb Europe Limited Authorised N FSA002

193707 Aberdeen Asset Investments Limited Authorised N FSA001

193707 Aberdeen Asset Investments Limited Authorised N FSA002

193863 Savills Investment Management (UK) Limited Authorised N FSA001

193863 Savills Investment Management (UK) Limited Authorised N FSA002

193905 Macquarie Capital (Europe) Limited Authorised N FSA001

193905 Macquarie Capital (Europe) Limited Authorised N FSA002

194050 Henderson Equity Partners Limited Authorised N FSA001

194050 Henderson Equity Partners Limited Authorised N FSA002

194126 Pareto Securities Limited Authorised N FSA001

194126 Pareto Securities Limited Authorised N FSA002

194149 Nuveen Management AIFM Limited Authorised N FSA001

194149 Nuveen Management AIFM Limited Authorised N FSA002

194229 Lindsell Train Limited Authorised N FSA001

194229 Lindsell Train Limited Authorised N FSA002

194231 Coronation International Limited Authorised N FSA001

194231 Coronation International Limited Authorised N FSA002

194240 Horseman Capital Management Limited Authorised N FSA001

194240 Horseman Capital Management Limited Authorised N FSA002

194382 Stonehage Fleming Investment Management Limited Authorised N FSA001

194382 Stonehage Fleming Investment Management Limited Authorised N FSA002

194525 State Street Global Markets International Limited Authorised N FSA001

194525 State Street Global Markets International Limited Authorised N FSA002

194570 Canada Life Asset Management Limited Authorised N FSA001

194570 Canada Life Asset Management Limited Authorised N FSA002

194662 BARINGS (U.K.) LIMITED Authorised N FSA001

194662 BARINGS (U.K.) LIMITED Authorised N FSA002

Page 26: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

194667 T. Rowe Price International Ltd Authorised N FSA001

194667 T. Rowe Price International Ltd Authorised N FSA002

194713 Raymond James Investment Services Ltd Authorised N FSA001

194713 Raymond James Investment Services Ltd Authorised N FSA002

194722 HFM Columbus Asset Management Limited Authorised N FSA001

194722 HFM Columbus Asset Management Limited Authorised N FSA002

194731 Apax Partners Europe Managers Ltd Authorised N FSA001

194731 Apax Partners Europe Managers Ltd Authorised N FSA002

194734 Cofunds Limited Authorised N FSA001

194734 Cofunds Limited Authorised N FSA002

194768 Montage Portfolio Management Ltd Authorised N FSA001

194768 Montage Portfolio Management Ltd Authorised N FSA002

194779 Octopus Investments Limited Authorised N FSA001

194779 Octopus Investments Limited Authorised N FSA002

194783 Ludgate Investments Limited Authorised N FSA001

194783 Ludgate Investments Limited Authorised N FSA002

194795 Devon Capital Advisors Limited Authorised N FSA001

194795 Devon Capital Advisors Limited Authorised N FSA002

194926 E D & F Man Capital Markets Limited Authorised N FSA001

194926 E D & F Man Capital Markets Limited Authorised N FSA002

194927 Canaccord Genuity Wealth Limited Authorised N FSA001

194927 Canaccord Genuity Wealth Limited Authorised N FSA002

194929 Stonehage Fleming Advisory Limited Authorised N FSA001

194929 Stonehage Fleming Advisory Limited Authorised N FSA002

195028 P-Solve Investments Limited Authorised N FSA001

195028 P-Solve Investments Limited Authorised N FSA002

195086 Leo Fund Managers Limited Authorised N FSA001

195086 Leo Fund Managers Limited Authorised N FSA002

195199 Lighthouse Advisory Services Limited Authorised N FSA001

195199 Lighthouse Advisory Services Limited Authorised N FSA002

195262 3i Investments Plc Authorised N FSA001

195262 3i Investments Plc Authorised N FSA002

195277 Otus Capital Management Limited Authorised N FSA001

195277 Otus Capital Management Limited Authorised N FSA002

195355 IG Markets Limited Authorised N FSA001

195355 IG Markets Limited Authorised N FSA002

195450 Arcanum Partners Limited Authorised N FSA001

195450 Arcanum Partners Limited Authorised N FSA002

195452 Midas Investment Management Limited Authorised N FSA001

195452 Midas Investment Management Limited Authorised N FSA002

195453 Orbit Investment Securities Services Plc Authorised N FSA001

195453 Orbit Investment Securities Services Plc Authorised N FSA002

195456 Fidante Partners Europe Limited Authorised N FSA001

195456 Fidante Partners Europe Limited Authorised N FSA002

195463 Macrocapital Limited Authorised N FSA001

195463 Macrocapital Limited Authorised N FSA002

195579 Miller Capital Partners Limited Authorised N FSA001

195579 Miller Capital Partners Limited Authorised N FSA002

195581 TMS Capital Limited Authorised N FSA001

195581 TMS Capital Limited Authorised N FSA002

195597 Torch Partners Corporate Finance Limited Authorised N FSA001

195597 Torch Partners Corporate Finance Limited Authorised N FSA002

195652 Macquarie Infrastructure and Real Assets (Europe) Limited Authorised N FSA001

195652 Macquarie Infrastructure and Real Assets (Europe) Limited Authorised N FSA002

195693 Standish Mellon Asset Management (UK) Limited Authorised N FSA001

195693 Standish Mellon Asset Management (UK) Limited Authorised N FSA002

195763 CG Asset Management Limited Authorised N FSA001

195763 CG Asset Management Limited Authorised N FSA002

Page 27: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

195764 Troy Asset Management Limited Authorised N FSA001

195764 Troy Asset Management Limited Authorised N FSA002

195766 InfraRed Capital Partners Limited Authorised N FSA001

195766 InfraRed Capital Partners Limited Authorised N FSA002

195788 Whitefoord (2010) Limited Registered N FSA001

195788 Whitefoord (2010) Limited Registered N FSA002

195960 Gottex Asset Management (U.K.) Limited Authorised N FSA001

195960 Gottex Asset Management (U.K.) Limited Authorised N FSA002

195997 Argo Capital Management Limited Authorised N FSA001

195997 Argo Capital Management Limited Authorised N FSA002

196001 S G Wealth Management Limited Authorised N FSA001

196001 S G Wealth Management Limited Authorised N FSA002

196124 Nash & Co Capital Limited Authorised N FSA001

196124 Nash & Co Capital Limited Authorised N FSA002

196277 ZAN Partners Limited Authorised N FSA001

196277 ZAN Partners Limited Authorised N FSA002

196333 Nextam Partners Limited Authorised N FSA001

196333 Nextam Partners Limited Authorised N FSA002

196334 Moorfield Investment Management Limited Authorised N FSA001

196334 Moorfield Investment Management Limited Authorised N FSA002

196447 Sandell Asset Management Europe Limited Authorised N FSA001

196447 Sandell Asset Management Europe Limited Authorised N FSA002

196460 Praefinium Partners Ltd Authorised N FSA001

196460 Praefinium Partners Ltd Authorised N FSA002

196482 Haitong Securities (UK) Limited Authorised N FSA001

196482 Haitong Securities (UK) Limited Authorised N FSA002

196485 Independent Minds Limited Authorised N FSA001

196485 Independent Minds Limited Authorised N FSA002

196601 MarketAxess Europe Limited Authorised N FSA001

196601 MarketAxess Europe Limited Authorised N FSA002

196835 Metage Capital Limited Authorised N FSA001

196835 Metage Capital Limited Authorised N FSA002

196845 Alcentra Limited Authorised N FSA001

196845 Alcentra Limited Authorised N FSA002

196936 Laxey Partners (UK) Limited Authorised N FSA001

196936 Laxey Partners (UK) Limited Authorised N FSA002

197007 MSS Capital Limited Authorised N FSA001

197007 MSS Capital Limited Authorised N FSA002

197008 Impax Asset Management Limited Authorised N FSA001

197008 Impax Asset Management Limited Authorised N FSA002

197097 Peterhouse Asset Management Limited Authorised N FSA001

197097 Peterhouse Asset Management Limited Authorised N FSA002

197099 Lothbury Investment Management Limited Authorised N FSA001

197099 Lothbury Investment Management Limited Authorised N FSA002

197186 Mazars Corporate Finance Limited Authorised N FSA001

197186 Mazars Corporate Finance Limited Authorised N FSA002

197230 Catalyst Investment Group Limited Authorised N FSA001

197230 Catalyst Investment Group Limited Authorised N FSA002

197236 Agincourt Financial Limited Authorised N FSA001

197236 Agincourt Financial Limited Authorised N FSA002

197244 TFS Derivatives Limited Authorised N FSA001

197244 TFS Derivatives Limited Authorised N FSA002

197249 CIT Financial Services Limited Authorised N FSA001

197249 CIT Financial Services Limited Authorised N FSA002

197251 Chatham Financial Europe Ltd Authorised N FSA001

197251 Chatham Financial Europe Ltd Authorised N FSA002

197288 Schroder Unit Trusts Limited Authorised N FSA001

197288 Schroder Unit Trusts Limited Authorised N FSA002

Page 28: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

197316 Pragma Wealth Management Limited Authorised N FSA001

197316 Pragma Wealth Management Limited Authorised N FSA002

197324 Axiom Capital Limited Authorised N FSA001

197324 Axiom Capital Limited Authorised N FSA002

197330 Arjent Limited Authorised N FSA001

197330 Arjent Limited Authorised N FSA002

197331 Odyssey Partners Limited Authorised N FSA001

197331 Odyssey Partners Limited Authorised N FSA002

197336 Integra Capital Limited Authorised N FSA001

197336 Integra Capital Limited Authorised N FSA002

197340 Heartwood Wealth Management Limited Authorised N FSA001

197340 Heartwood Wealth Management Limited Authorised N FSA002

197343 GAMCO Asset Management (UK) Limited Authorised N FSA001

197343 GAMCO Asset Management (UK) Limited Authorised N FSA002

197385 Keith Bayley Rogers & Co Limited Authorised N FSA001

197385 Keith Bayley Rogers & Co Limited Authorised N FSA002

197410 Royal Liver Asset Managers Limited Authorised N FSA001

197410 Royal Liver Asset Managers Limited Authorised N FSA002

197474 Gradient Capital Partners LLP Authorised N FSA001

197474 Gradient Capital Partners LLP Authorised N FSA002

197479 Polunin Capital Partners Limited Authorised N FSA001

197479 Polunin Capital Partners Limited Authorised N FSA002

197481 Duet Alternative Investments (UK) Limited Authorised N FSA001

197481 Duet Alternative Investments (UK) Limited Authorised N FSA002

197484 Millbank Investment Managers Limited Authorised N FSA001

197484 Millbank Investment Managers Limited Authorised N FSA002

197487 Tail Wind Advisory and Management Limited Authorised N FSA001

197487 Tail Wind Advisory and Management Limited Authorised N FSA002

197511 Poalim Asset Management (UK) Limited Authorised N FSA001

197511 Poalim Asset Management (UK) Limited Authorised N FSA002

197515 M&G International Investments Limited Authorised N FSA001

197515 M&G International Investments Limited Authorised N FSA002

197544 Traderisks Limited Authorised N FSA001

197544 Traderisks Limited Authorised N FSA002

198014 Rubicon Fund Management LLP Authorised N FSA001

198014 Rubicon Fund Management LLP Authorised N FSA002

198024 Amati Global Investors Limited Authorised N FSA001

198024 Amati Global Investors Limited Authorised N FSA002

198036 Citation Capital Management Limited Authorised N FSA001

198036 Citation Capital Management Limited Authorised N FSA002

198039 Liquidnet Europe Limited Authorised N FSA001

198039 Liquidnet Europe Limited Authorised N FSA002

198041 JLT Investment Management Limited Authorised N FSA001

198041 JLT Investment Management Limited Authorised N FSA002

198042 Devonshire Corporate Finance Limited Authorised N FSA001

198042 Devonshire Corporate Finance Limited Authorised N FSA002

204440 Capital One (Europe) plc Authorised N FSA001

204440 Capital One (Europe) plc Authorised N FSA002

204487 MBNA Limited Authorised N FSA001

204487 MBNA Limited Authorised N FSA002

204572 Santander Cards UK Limited Authorised N FSA001

204572 Santander Cards UK Limited Authorised N FSA002

205621 Canada Square Operations Limited Authorised N FSA001

205621 Canada Square Operations Limited Authorised N FSA002

206017 Reuters Transaction Services Limited Authorised N FSA001

206017 Reuters Transaction Services Limited Authorised N FSA002

206018 TFS-ICAP Limited Authorised N FSA001

206018 TFS-ICAP Limited Authorised N FSA002

Page 29: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

207816 AHV Associates LLP Authorised N FSA001

207816 AHV Associates LLP Authorised N FSA002

207821 Arkios Limited Authorised N FSA001

207821 Arkios Limited Authorised N FSA002

207972 Resolution Partners Limited Authorised N FSA001

207972 Resolution Partners Limited Authorised N FSA002

208027 Forester Fund Management Limited Authorised N FSA001

208027 Forester Fund Management Limited Authorised N FSA002

208116 DC Dwek Corporate Finance Limited Authorised N FSA001

208116 DC Dwek Corporate Finance Limited Authorised N FSA002

208120 EEP Advisers Limited Authorised N FSA001

208120 EEP Advisers Limited Authorised N FSA002

208159 Interactive Brokers (UK) Ltd Authorised N FSA001

208159 Interactive Brokers (UK) Ltd Authorised N FSA002

208161 Duet Private Equity Limited Authorised N FSA001

208161 Duet Private Equity Limited Authorised N FSA002

208165 JonesTrading International Limited Authorised N FSA001

208165 JonesTrading International Limited Authorised N FSA002

208180 Northbridge Management Limited Authorised N FSA001

208180 Northbridge Management Limited Authorised N FSA002

208188 Oxygen Ventures Limited Authorised N FSA001

208188 Oxygen Ventures Limited Authorised N FSA002

208243 TAM Asset Management Ltd Authorised N FSA001

208243 TAM Asset Management Ltd Authorised N FSA002

208247 Schneider Trading Associates Limited Authorised N FSA001

208247 Schneider Trading Associates Limited Authorised N FSA002

208253 ScottishPower Energy Management (Agency) Limited Authorised N FSA001

208253 ScottishPower Energy Management (Agency) Limited Authorised N FSA002

208259 Silverbrook Capital Management Limited Authorised N FSA001

208259 Silverbrook Capital Management Limited Authorised N FSA002

208265 Sunrise Brokers LLP Authorised N FSA001

208265 Sunrise Brokers LLP Authorised N FSA002

208317 Baker Steel Capital Managers LLP Authorised N FSA001

208317 Baker Steel Capital Managers LLP Authorised N FSA002

208546 Spring Asset Management Limited Authorised N FSA001

208546 Spring Asset Management Limited Authorised N FSA002

208551 Nedgroup Investment Advisors (UK) Limited Authorised N FSA001

208551 Nedgroup Investment Advisors (UK) Limited Authorised N FSA002

208565 Margetts Fund Management Limited Authorised N FSA001

208565 Margetts Fund Management Limited Authorised N FSA002

208566 Oxeye Capital Management Limited Authorised N FSA001

208566 Oxeye Capital Management Limited Authorised N FSA002

208573 Wellington Management International Limited Authorised N FSA001

208573 Wellington Management International Limited Authorised N FSA002

208628 Gulf Merchant Group LLP Authorised N FSA001

208628 Gulf Merchant Group LLP Authorised N FSA002

208634 Eaton Vance Management (International) Limited Authorised N FSA001

208634 Eaton Vance Management (International) Limited Authorised N FSA002

208689 Seneca Investment Managers Limited Authorised N FSA001

208689 Seneca Investment Managers Limited Authorised N FSA002

208692 Method Investments & Advisory Ltd Authorised N FSA001

208692 Method Investments & Advisory Ltd Authorised N FSA002

208716 The Fund Incubator Limited Authorised N FSA001

208716 The Fund Incubator Limited Authorised N FSA002

208719 Conduit Ventures Limited Authorised N FSA001

208719 Conduit Ventures Limited Authorised N FSA002

208725 BNP Paribas Real Estate Investment Management (UK) Limited Authorised N FSA001

208725 BNP Paribas Real Estate Investment Management (UK) Limited Authorised N FSA002

Page 30: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

208737 Hottinger Investment Management Limited Authorised N FSA001

208737 Hottinger Investment Management Limited Authorised N FSA002

209529 Investment and Tax Advisory Services Limited Authorised N FSA001

209529 Investment and Tax Advisory Services Limited Authorised N FSA002

209530 D B Wood Limited Authorised N FSA001

209530 D B Wood Limited Authorised N FSA002

209741 Hargreave Hale Limited Authorised N FSA001

209741 Hargreave Hale Limited Authorised N FSA002

209819 RFC AMBRIAN LIMITED Authorised N FSA001

209819 RFC AMBRIAN LIMITED Authorised N FSA002

209967 FINANCIAL EXPRESS INVESTMENTS LTD Authorised N FSA001

209967 FINANCIAL EXPRESS INVESTMENTS LTD Authorised N FSA002

210208 Joseph R Lamb Independent Financial Advisers Limited Authorised N FSA001

210208 Joseph R Lamb Independent Financial Advisers Limited Authorised N FSA002

210281 Global Coal Limited Authorised N FSA001

210281 Global Coal Limited Authorised N FSA002

210414 Brandon Hill Capital Limited Authorised N FSA001

210414 Brandon Hill Capital Limited Authorised N FSA002

210441 Cassian Capital LLP Authorised N FSA001

210441 Cassian Capital LLP Authorised N FSA002

210479 Patrizia Financial Services Limited Authorised N FSA001

210479 Patrizia Financial Services Limited Authorised N FSA002

210782 PB Financial Planning Limited Authorised N FSA001

210782 PB Financial Planning Limited Authorised N FSA002

211075 Dragon Investment Managers Ltd Authorised N FSA001

211075 Dragon Investment Managers Ltd Authorised N FSA002

211134 CF Global Trading (UK) Limited Authorised N FSA001

211134 CF Global Trading (UK) Limited Authorised N FSA002

211205 Nemesis Asset Management LLP Authorised N FSA001

211205 Nemesis Asset Management LLP Authorised N FSA002

211314 Tees Financial Limited Authorised N FSA001

211314 Tees Financial Limited Authorised N FSA002

211326 ICE Markets Limited Authorised N FSA001

211326 ICE Markets Limited Authorised N FSA002

211593 Jaguar Investments Limited Authorised N FSA001

211593 Jaguar Investments Limited Authorised N FSA002

211690 Hanover Square Capital (UK) Limited Authorised N FSA001

211690 Hanover Square Capital (UK) Limited Authorised N FSA002

211863 Bishopsgate Corporate Finance Limited Authorised N FSA001

211863 Bishopsgate Corporate Finance Limited Authorised N FSA002

212832 Libra Equity Limited Authorised N FSA001

212832 Libra Equity Limited Authorised N FSA002

212866 Resolution Property FM Limited Authorised N FSA001

212866 Resolution Property FM Limited Authorised N FSA002

212867 Maple Leaf Capital LLP Authorised N FSA001

212867 Maple Leaf Capital LLP Authorised N FSA002

212875 PEM Corporate Finance LLP Authorised N FSA001

212875 PEM Corporate Finance LLP Authorised N FSA002

212979 Caledon Capital Partners LLP Authorised N FSA001

212979 Caledon Capital Partners LLP Authorised N FSA002

213055 Armajaro Asset Management LLP Authorised N FSA001

213055 Armajaro Asset Management LLP Authorised N FSA002

213056 La Rochefoucauld & Sons Limited Authorised N FSA001

213056 La Rochefoucauld & Sons Limited Authorised N FSA002

214032 Arden Partners Plc Authorised N FSA001

214032 Arden Partners Plc Authorised N FSA002

214206 Platform Securities LLP Authorised N FSA001

214206 Platform Securities LLP Authorised N FSA002

Page 31: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

214266 Dalton Strategic Partnership LLP Authorised N FSA001

214266 Dalton Strategic Partnership LLP Authorised N FSA002

214498 MAVORS Investment Managers LLP Authorised N FSA001

214498 MAVORS Investment Managers LLP Authorised N FSA002

214576 Commander Asset Management Ltd Authorised N FSA001

214576 Commander Asset Management Ltd Authorised N FSA002

214843 Odey Asset Management LLP Authorised N FSA001

214843 Odey Asset Management LLP Authorised N FSA002

215188 McCall, Aitken, McKenzie & Co Limited Authorised N FSA001

215188 McCall, Aitken, McKenzie & Co Limited Authorised N FSA002

216145 Five Arrows Managers LLP Authorised N FSA001

216145 Five Arrows Managers LLP Authorised N FSA002

216704 AFH Independent Financial Services Limited Authorised N FSA001

216704 AFH Independent Financial Services Limited Authorised N FSA002

216708 TDR Capital LLP Authorised N FSA001

216708 TDR Capital LLP Authorised N FSA002

216729 Smith & Williamson Corporate Finance Limited Authorised N FSA001

216729 Smith & Williamson Corporate Finance Limited Authorised N FSA002

216765 North Asset Management LLP Authorised N FSA001

216765 North Asset Management LLP Authorised N FSA002

216847 DELFF Management Limited Authorised N FSA001

216847 DELFF Management Limited Authorised N FSA002

216849 Boussard & Gavaudan Asset Management LP Authorised N FSA001

216849 Boussard & Gavaudan Asset Management LP Authorised N FSA002

216851 Brevan Howard Asset Management LLP Authorised N FSA001

216851 Brevan Howard Asset Management LLP Authorised N FSA002

217109 Cedar Rock Capital Limited Authorised N FSA001

217109 Cedar Rock Capital Limited Authorised N FSA002

217329 Majedie Asset Management Limited Authorised N FSA001

217329 Majedie Asset Management Limited Authorised N FSA002

217390 Muse Capital LLP Authorised N FSA001

217390 Muse Capital LLP Authorised N FSA002

217456 Living Capital Management Limited Authorised N FSA001

217456 Living Capital Management Limited Authorised N FSA002

217457 EPIC Private Equity Limited Authorised N FSA001

217457 EPIC Private Equity Limited Authorised N FSA002

217689 Forex Capital Markets Limited Authorised N FSA001

217689 Forex Capital Markets Limited Authorised N FSA002

217702 Ramius UK Ltd Authorised N FSA001

217702 Ramius UK Ltd Authorised N FSA002

217759 SSE Trading Limited Authorised N FSA001

217759 SSE Trading Limited Authorised N FSA002

218270 Leucadia Investment Management Limited Authorised N FSA001

218270 Leucadia Investment Management Limited Authorised N FSA002

218549 Prodigy Capital Partners LLP Authorised N FSA001

218549 Prodigy Capital Partners LLP Authorised N FSA002

218613 Rothschild Wealth Management (UK) Limited Authorised N FSA001

218613 Rothschild Wealth Management (UK) Limited Authorised N FSA002

218745 Acumen Financial Planning Limited Authorised N FSA001

218745 Acumen Financial Planning Limited Authorised N FSA002

218795 The OPES Group Limited Authorised N FSA001

218795 The OPES Group Limited Authorised N FSA002

218913 DG Partners LLP Authorised N FSA001

218913 DG Partners LLP Authorised N FSA002

219017 Abraxas Capital Management Limited Authorised N FSA001

219017 Abraxas Capital Management Limited Authorised N FSA002

219473 Intelligent Money Ltd Authorised N FSA001

219473 Intelligent Money Ltd Authorised N FSA002

Page 32: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

219655 AE Global Investment Solutions Limited Authorised N FSA001

219655 AE Global Investment Solutions Limited Authorised N FSA002

219706 RIA Capital Markets Limited Authorised N FSA001

219706 RIA Capital Markets Limited Authorised N FSA002

219755 Matterhorn Investment Management LLP Authorised N FSA001

219755 Matterhorn Investment Management LLP Authorised N FSA002

219865 Harmonic Capital Partners LLP Authorised N FSA001

219865 Harmonic Capital Partners LLP Authorised N FSA002

219900 Wadhwani Asset Management LLP Authorised N FSA001

219900 Wadhwani Asset Management LLP Authorised N FSA002

219963 Finisterre Capital LLP Authorised N FSA001

219963 Finisterre Capital LLP Authorised N FSA002

220069 Hamilton Lane (UK) Ltd Authorised N FSA001

220069 Hamilton Lane (UK) Ltd Authorised N FSA002

220241 Miton Trust Managers Limited Authorised N FSA001

220241 Miton Trust Managers Limited Authorised N FSA002

220523 CME Marketing Europe Limited Authorised N FSA001

220523 CME Marketing Europe Limited Authorised N FSA002

220743 Mattioli Woods PLC Authorised N FSA001

220743 Mattioli Woods PLC Authorised N FSA002

220908 Integrated Alternative Investments Limited Authorised N FSA001

220908 Integrated Alternative Investments Limited Authorised N FSA002

220929 SVS Securities Plc Authorised N FSA001

220929 SVS Securities Plc Authorised N FSA002

220997 GVQ Investment Management Limited Authorised N FSA001

220997 GVQ Investment Management Limited Authorised N FSA002

221138 Mansford Capital Limited Authorised N FSA001

221138 Mansford Capital Limited Authorised N FSA002

221189 Cliff Green Consultancy Authorised N FSA001

221189 Cliff Green Consultancy Authorised N FSA002

221250 Absolute Return Partners LLP Authorised N FSA001

221250 Absolute Return Partners LLP Authorised N FSA002

221361 Cambridge Place Investment Management LLP Authorised N FSA001

221361 Cambridge Place Investment Management LLP Authorised N FSA002

221375 Cognis Capital LLP Authorised N FSA001

221375 Cognis Capital LLP Authorised N FSA002

221438 Trinity Street Asset Management LLP Authorised N FSA001

221438 Trinity Street Asset Management LLP Authorised N FSA002

221462 Elara Capital Plc Authorised N FSA001

221462 Elara Capital Plc Authorised N FSA002

221468 NLP Financial Management Limited Authorised N FSA001

221468 NLP Financial Management Limited Authorised N FSA002

221476 Operis Business Engineering Limited Authorised N FSA001

221476 Operis Business Engineering Limited Authorised N FSA002

221563 Iroko Securities Limited Authorised N FSA001

221563 Iroko Securities Limited Authorised N FSA002

221604 Sustainable Technology Investors Limited Authorised N FSA001

221604 Sustainable Technology Investors Limited Authorised N FSA002

221740 Portfolio & Pension Management Ltd Authorised N FSA001

221740 Portfolio & Pension Management Ltd Authorised N FSA002

221840 Beehive Capital LLP Authorised N FSA001

221840 Beehive Capital LLP Authorised N FSA002

222755 Signet Capital Management Ltd Authorised N FSA001

222755 Signet Capital Management Ltd Authorised N FSA002

222895 Aquarius Equity Partners Limited Authorised N FSA001

222895 Aquarius Equity Partners Limited Authorised N FSA002

222907 Findlay Park Partners LLP Authorised N FSA001

222907 Findlay Park Partners LLP Authorised N FSA002

Page 33: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

222929 Adelante Asset Management Limited Authorised N FSA001

222929 Adelante Asset Management Limited Authorised N FSA002

223074 Tilney Asset Management Limited Authorised N FSA001

223074 Tilney Asset Management Limited Authorised N FSA002

223077 Guinness Asset Management Ltd Authorised N FSA001

223077 Guinness Asset Management Ltd Authorised N FSA002

223112 Best Practice IFA Group Limited Authorised N FSA001

223112 Best Practice IFA Group Limited Authorised N FSA002

223338 Coriolis Capital Ltd Authorised N FSA001

223338 Coriolis Capital Ltd Authorised N FSA002

223396 City Capital Corporation Limited Authorised N FSA001

223396 City Capital Corporation Limited Authorised N FSA002

223525 Financo Limited Authorised N FSA001

223525 Financo Limited Authorised N FSA002

223608 Stockdale Street Limited Authorised N FSA001

223608 Stockdale Street Limited Authorised N FSA002

223632 Keyhaven Capital Partners Ltd Authorised N FSA001

223632 Keyhaven Capital Partners Ltd Authorised N FSA002

223785 Root Capital LLP Authorised N FSA001

223785 Root Capital LLP Authorised N FSA002

223961 GuardCap Asset Management Limited Authorised N FSA001

223961 GuardCap Asset Management Limited Authorised N FSA002

224100 Washington Square Investment Management Limited Authorised N FSA001

224100 Washington Square Investment Management Limited Authorised N FSA002

224125 Sanctum FI LLP Authorised N FSA001

224125 Sanctum FI LLP Authorised N FSA002

224171 Corporate Oxygen Ltd Authorised N FSA001

224171 Corporate Oxygen Ltd Authorised N FSA002

224232 Unifortune Investment Management Limited Authorised N FSA001

224232 Unifortune Investment Management Limited Authorised N FSA002

224359 Autonomy Capital Research LLP Authorised N FSA001

224359 Autonomy Capital Research LLP Authorised N FSA002

224510 Evolution Markets Limited Authorised N FSA001

224510 Evolution Markets Limited Authorised N FSA002

224540 GMO UK Limited Authorised N FSA001

224540 GMO UK Limited Authorised N FSA002

224621 Zeus Capital Limited Authorised N FSA001

224621 Zeus Capital Limited Authorised N FSA002

224644 Gracchi Capital Partners LLP Authorised N FSA001

224644 Gracchi Capital Partners LLP Authorised N FSA002

224825 Taylor Patterson Financial Planning Ltd Authorised N FSA001

224825 Taylor Patterson Financial Planning Ltd Authorised N FSA002

224915 Harwood Capital LLP Authorised N FSA001

224915 Harwood Capital LLP Authorised N FSA002

224952 MCF Limited Authorised N FSA001

224952 MCF Limited Authorised N FSA002

225050 Pacific Alternative Asset Management Company Europe LLP Authorised N FSA001

225050 Pacific Alternative Asset Management Company Europe LLP Authorised N FSA002

225116 Charles Schwab UK Limited Authorised N FSA001

225116 Charles Schwab UK Limited Authorised N FSA002

225141 Equilend Europe Limited Authorised N FSA001

225141 Equilend Europe Limited Authorised N FSA002

225360 LF Real Estate Partners International UK Finance Limited Authorised N FSA001

225360 LF Real Estate Partners International UK Finance Limited Authorised N FSA002

225474 Atlantic Equities LLP Authorised N FSA001

225474 Atlantic Equities LLP Authorised N FSA002

225482 Solidus Partners LLP Authorised N FSA001

225482 Solidus Partners LLP Authorised N FSA002

Page 34: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

225484 Cantillon Capital Management LLP Authorised N FSA001

225484 Cantillon Capital Management LLP Authorised N FSA002

225494 Edinburgh Partners Limited Authorised N FSA001

225494 Edinburgh Partners Limited Authorised N FSA002

225509 Turquoise International Limited Authorised N FSA001

225509 Turquoise International Limited Authorised N FSA002

225510 JK Investment Management LLP Authorised N FSA001

225510 JK Investment Management LLP Authorised N FSA002

225538 Landmark IFA Limited Authorised N FSA001

225538 Landmark IFA Limited Authorised N FSA002

225539 Otkritie Capital International Limited Authorised N FSA001

225539 Otkritie Capital International Limited Authorised N FSA002

225540 AMG Capital Partners Limited Authorised N FSA001

225540 AMG Capital Partners Limited Authorised N FSA002

225544 Louis Capital Markets UK LLP Authorised N FSA001

225544 Louis Capital Markets UK LLP Authorised N FSA002

225574 James Hay WRAP Managers Limited Authorised N FSA001

225574 James Hay WRAP Managers Limited Authorised N FSA002

225586 Stafford Capital Partners Limited Authorised N FSA001

225586 Stafford Capital Partners Limited Authorised N FSA002

225631 Churchill Capital UK Ltd Authorised N FSA001

225631 Churchill Capital UK Ltd Authorised N FSA002

225747 CTC London Ltd Authorised N FSA001

225747 CTC London Ltd Authorised N FSA002

225785 Intertrust Fund Services (Uk) Limited Authorised N FSA001

225785 Intertrust Fund Services (Uk) Limited Authorised N FSA002

225825 Meltemi Investment Management Limited Authorised N FSA001

225825 Meltemi Investment Management Limited Authorised N FSA002

225981 Shire Warwick Lewis Corporate Finance Ltd Authorised N FSA001

225981 Shire Warwick Lewis Corporate Finance Ltd Authorised N FSA002

225986 SAB Securities Limited Authorised N FSA001

225986 SAB Securities Limited Authorised N FSA002

226033 Accrue Investment Management Ltd Authorised N FSA001

226033 Accrue Investment Management Ltd Authorised N FSA002

226243 Linkstone Capital Limited Authorised N FSA001

226243 Linkstone Capital Limited Authorised N FSA002

226244 Albemarle Asset Management Ltd Authorised N FSA001

226244 Albemarle Asset Management Ltd Authorised N FSA002

226249 Elcot Capital Management Ltd Authorised N FSA001

226249 Elcot Capital Management Ltd Authorised N FSA002

226271 Conversion Capital Partners Ltd Authorised N FSA001

226271 Conversion Capital Partners Ltd Authorised N FSA002

226338 Charlwood IFA Limited Authorised N FSA001

226338 Charlwood IFA Limited Authorised N FSA002

226344 Walker Crips Stockbrokers Ltd Authorised N FSA001

226344 Walker Crips Stockbrokers Ltd Authorised N FSA002

226367 NS Asset Management LLP Authorised N FSA001

226367 NS Asset Management LLP Authorised N FSA002

226392 Cardale Asset Management Limited Authorised N FSA001

226392 Cardale Asset Management Limited Authorised N FSA002

226558 Prudent Wealth Management Limited Authorised N FSA001

226558 Prudent Wealth Management Limited Authorised N FSA002

226978 Thompson Taraz Managers Ltd Authorised N FSA001

226978 Thompson Taraz Managers Ltd Authorised N FSA002

227068 Quantmetrics Capital Management LLP Authorised N FSA001

227068 Quantmetrics Capital Management LLP Authorised N FSA002

227209 IAF Capital Limited Authorised N FSA001

227209 IAF Capital Limited Authorised N FSA002

Page 35: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

227466 Rosette Merchant Bank LLP Authorised N FSA001

227466 Rosette Merchant Bank LLP Authorised N FSA002

227496 Colyzeo Investment Management Ltd Authorised N FSA001

227496 Colyzeo Investment Management Ltd Authorised N FSA002

227835 Vantage Investment Advisory Limited Authorised N FSA001

227835 Vantage Investment Advisory Limited Authorised N FSA002

228223 HBK Europe Management LLP Authorised N FSA001

228223 HBK Europe Management LLP Authorised N FSA002

228345 Strathtay Ventures Limited Authorised N FSA001

228345 Strathtay Ventures Limited Authorised N FSA002

228524 Mount Capital Ltd Authorised N FSA001

228524 Mount Capital Ltd Authorised N FSA002

228525 Nevastar Finance Ltd Authorised N FSA001

228525 Nevastar Finance Ltd Authorised N FSA002

228531 Marshall Wace LLP Authorised N FSA001

228531 Marshall Wace LLP Authorised N FSA002

228551 Sberbank CIB (UK) Limited Authorised N FSA001

228551 Sberbank CIB (UK) Limited Authorised N FSA002

228616 Endeavour Capital LLP Authorised N FSA001

228616 Endeavour Capital LLP Authorised N FSA002

228713 Rhicon Currency Management (UK) Ltd Authorised N FSA001

228713 Rhicon Currency Management (UK) Ltd Authorised N FSA002

228827 Eiger Securities LLP Authorised N FSA001

228827 Eiger Securities LLP Authorised N FSA002

228990 Garraway Capital Management LLP Authorised N FSA001

228990 Garraway Capital Management LLP Authorised N FSA002

229036 Chilton Investment Co Ltd Authorised N FSA001

229036 Chilton Investment Co Ltd Authorised N FSA002

229082 Tokio Marine Rogge Asset Management Limited Authorised N FSA001

229082 Tokio Marine Rogge Asset Management Limited Authorised N FSA002

229135 Ruffer LLP Authorised N FSA001

229135 Ruffer LLP Authorised N FSA002

229228 Mayfair Capital Investment Management Ltd Authorised N FSA001

229228 Mayfair Capital Investment Management Ltd Authorised N FSA002

229257 Pembroke Asset Management LLP Authorised N FSA001

229257 Pembroke Asset Management LLP Authorised N FSA002

229284 BGB Weston Ltd Authorised N FSA001

229284 BGB Weston Ltd Authorised N FSA002

229285 Greyfriars Asset Management LLP Authorised N FSA001

229285 Greyfriars Asset Management LLP Authorised N FSA002

229318 Omcap Limited Authorised N FSA001

229318 Omcap Limited Authorised N FSA002

229372 Bayonet Ventures LLP Authorised N FSA001

229372 Bayonet Ventures LLP Authorised N FSA002

229445 TCF Fund Managers LLP Authorised N FSA001

229445 TCF Fund Managers LLP Authorised N FSA002

229622 Observatory Capital Management LLP Authorised N FSA001

229622 Observatory Capital Management LLP Authorised N FSA002

229760 Portland Financial Management (UK) Limited-In Liquidation Authorised N FSA001

229760 Portland Financial Management (UK) Limited-In Liquidation Authorised N FSA002

229781 J-M Capital Ltd Authorised N FSA001

229781 J-M Capital Ltd Authorised N FSA002

229782 Marathon Asset Management LLP Authorised N FSA001

229782 Marathon Asset Management LLP Authorised N FSA002

229812 Emso Asset Management Limited Authorised N FSA001

229812 Emso Asset Management Limited Authorised N FSA002

229906 Forexmax Ltd Authorised N FSA001

229906 Forexmax Ltd Authorised N FSA002

Page 36: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

230010 Prytania Investment Advisors LLP Authorised N FSA001

230010 Prytania Investment Advisors LLP Authorised N FSA002

230035 Seven Dials Financial Ltd Authorised N FSA001

230035 Seven Dials Financial Ltd Authorised N FSA002

230038 Balthazar Capital Partners Limited Authorised N FSA001

230038 Balthazar Capital Partners Limited Authorised N FSA002

230238 Europa Capital LLP Authorised N FSA001

230238 Europa Capital LLP Authorised N FSA002

230449 Perella Weinberg Partners Capital Management Europe LLP Authorised N FSA001

230449 Perella Weinberg Partners Capital Management Europe LLP Authorised N FSA002

230462 Juliette Clark Authorised N FSA001

230462 Juliette Clark Authorised N FSA002

230466 Habrok Capital Management LLP Authorised N FSA001

230466 Habrok Capital Management LLP Authorised N FSA002

230485 Acsel Advisors Ltd Authorised N FSA001

230485 Acsel Advisors Ltd Authorised N FSA002

230512 Prosperity Capital Management (UK) Ltd Authorised N FSA001

230512 Prosperity Capital Management (UK) Ltd Authorised N FSA002

230553 Wise Investments Ltd Authorised N FSA001

230553 Wise Investments Ltd Authorised N FSA002

230592 Mathieson Capital Fund Management LLP Authorised N FSA001

230592 Mathieson Capital Fund Management LLP Authorised N FSA002

230608 Altus Investment Management Ltd Authorised N FSA001

230608 Altus Investment Management Ltd Authorised N FSA002

230683 Fulcrum Asset Management LLP Authorised N FSA001

230683 Fulcrum Asset Management LLP Authorised N FSA002

230687 SI Capital Ltd Authorised N FSA001

230687 SI Capital Ltd Authorised N FSA002

230690 Whitley Asset Management Ltd Authorised N FSA001

230690 Whitley Asset Management Ltd Authorised N FSA002

230691 William Albert Securities Limited Authorised N FSA001

230691 William Albert Securities Limited Authorised N FSA002

230730 Worldspreads Ltd Authorised N FSA001

230730 Worldspreads Ltd Authorised N FSA002

230779 Revera Asset Management Ltd Authorised N FSA001

230779 Revera Asset Management Ltd Authorised N FSA002

230853 Alphabet Capital Advisors Ltd Authorised N FSA001

230853 Alphabet Capital Advisors Ltd Authorised N FSA002

231034 Altera Partners Management Ltd Authorised N FSA001

231034 Altera Partners Management Ltd Authorised N FSA002

231157 Mako Financial Markets Partnership LLP Authorised N FSA001

231157 Mako Financial Markets Partnership LLP Authorised N FSA002

231176 Imara Asset Management (UK) Ltd Authorised N FSA001

231176 Imara Asset Management (UK) Ltd Authorised N FSA002

231285 Icon Corporate Finance Ltd Authorised N FSA001

231285 Icon Corporate Finance Ltd Authorised N FSA002

231328 I F MACKINNON & COMPANY LLP Authorised N FSA001

231328 I F MACKINNON & COMPANY LLP Authorised N FSA002

231527 Exponent Private Equity LLP Authorised N FSA001

231527 Exponent Private Equity LLP Authorised N FSA002

231530 Aviva Wrap UK Limited Authorised N FSA001

231530 Aviva Wrap UK Limited Authorised N FSA002

231778 Stratton Street Capital LLP Authorised N FSA001

231778 Stratton Street Capital LLP Authorised N FSA002

232015 City Credit Capital (UK) Ltd Authorised N FSA001

232015 City Credit Capital (UK) Ltd Authorised N FSA002

232088 Investment Quorum Limited Authorised N FSA001

232088 Investment Quorum Limited Authorised N FSA002

Page 37: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

232104 7daysahead Authorised N FSA001

232104 7daysahead Authorised N FSA002

232156 Artesian Capital Management (UK) LLP Authorised N FSA001

232156 Artesian Capital Management (UK) LLP Authorised N FSA002

232168 The Black Ant Group LLP Authorised N FSA001

232168 The Black Ant Group LLP Authorised N FSA002

232185 Altima Partners LLP Authorised N FSA001

232185 Altima Partners LLP Authorised N FSA002

232261 Genesis Investment Management LLP Authorised N FSA001

232261 Genesis Investment Management LLP Authorised N FSA002

232340 Invicta Capital Ltd Authorised N FSA002

232357 Momentum Global Investment Management Limited Authorised N FSA001

232357 Momentum Global Investment Management Limited Authorised N FSA002

232423 Bastion Capital London Ltd Authorised N FSA001

232423 Bastion Capital London Ltd Authorised N FSA002

232613 BSN Capital Partners Ltd Authorised N FSA001

232613 BSN Capital Partners Ltd Authorised N FSA002

302586 Derbyshire Home Loans Ltd Authorised N FSA001

308919 TTT Moneycorp Ltd Registered N FSA001

308919 TTT Moneycorp Ltd Registered N FSA002

310519 Excel (Life Assurance & Mortgage Consultants) Limited Authorised N FSA001

310519 Excel (Life Assurance & Mortgage Consultants) Limited Authorised N FSA002

312416 Synergy Financial Products Limited Authorised N FSA001

312416 Synergy Financial Products Limited Authorised N FSA002

400040 Longley Asset Management Ltd Authorised N FSA001

400040 Longley Asset Management Ltd Authorised N FSA002

400045 Cairn Capital Limited Authorised N FSA001

400045 Cairn Capital Limited Authorised N FSA002

400056 Baader Helvea Limited Authorised N FSA001

400056 Baader Helvea Limited Authorised N FSA002

400251 Orchestra Finance LLP Authorised N FSA001

400251 Orchestra Finance LLP Authorised N FSA002

400266 Sapiance Capital Ltd Authorised N FSA001

400266 Sapiance Capital Ltd Authorised N FSA002

400309 Stanhope Capital LLP Authorised N FSA001

400309 Stanhope Capital LLP Authorised N FSA002

400316 European Capital Markets Ltd Authorised N FSA001

400316 European Capital Markets Ltd Authorised N FSA002

400442 Avenue Europe Management LLP Authorised N FSA001

400442 Avenue Europe Management LLP Authorised N FSA002

400487 Beagle Partners LLP Authorised N FSA001

400487 Beagle Partners LLP Authorised N FSA002

400496 CQS (UK) LLP Authorised N FSA001

400496 CQS (UK) LLP Authorised N FSA002

400522 Agnitio Capital Limited Authorised N FSA001

400522 Agnitio Capital Limited Authorised N FSA002

400674 Talisman Global Asset Management Ltd Authorised N FSA001

400674 Talisman Global Asset Management Ltd Authorised N FSA002

400724 Castlestone Management Ltd Authorised N FSA001

400724 Castlestone Management Ltd Authorised N FSA002

400856 FTI Financial Services Ltd Authorised N FSA001

400856 FTI Financial Services Ltd Authorised N FSA002

400908 Sector Investment Managers Ltd Authorised N FSA001

400908 Sector Investment Managers Ltd Authorised N FSA002

400911 Eton Park International LLP Authorised N FSA001

400911 Eton Park International LLP Authorised N FSA002

401041 VWM Consulting Limited Authorised N FSA001

401041 VWM Consulting Limited Authorised N FSA002

Page 38: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

401049 Victoria Capital (UK) Ltd Authorised N FSA001

401049 Victoria Capital (UK) Ltd Authorised N FSA002

401062 Strategic Value Partners (UK) LLP Authorised N FSA001

401062 Strategic Value Partners (UK) LLP Authorised N FSA002

401123 Fundamental Asset Management Ltd Authorised N FSA001

401123 Fundamental Asset Management Ltd Authorised N FSA002

401132 Stargate Corporate Finance Ltd Authorised N FSA001

401132 Stargate Corporate Finance Ltd Authorised N FSA002

401179 Trade Facts Ltd Authorised N FSA001

401179 Trade Facts Ltd Authorised N FSA002

401307 Partners Group (UK) Ltd Authorised N FSA001

401307 Partners Group (UK) Ltd Authorised N FSA002

401334 Fusion Asset Management LLP Authorised N FSA001

401334 Fusion Asset Management LLP Authorised N FSA002

401358 TFO Management LLP Authorised N FSA001

401358 TFO Management LLP Authorised N FSA002

401378 Hadron Capital LLP Authorised N FSA001

401378 Hadron Capital LLP Authorised N FSA002

401411 Elliott Advisors (UK) Ltd Authorised N FSA001

401411 Elliott Advisors (UK) Ltd Authorised N FSA002

401436 Adelphi Capital LLP Authorised N FSA001

401436 Adelphi Capital LLP Authorised N FSA002

401543 Barings Real Estate Advisers Europe Finance LLP Authorised N FSA001

401543 Barings Real Estate Advisers Europe Finance LLP Authorised N FSA002

401546 Pharo Management (UK) LLP Authorised N FSA001

401546 Pharo Management (UK) LLP Authorised N FSA002

401632 Herax Partners LLP Authorised N FSA001

401632 Herax Partners LLP Authorised N FSA002

401675 KBW Associates Ltd Authorised N FSA001

401675 KBW Associates Ltd Authorised N FSA002

401760 Lion Capital LLP Authorised N FSA001

401760 Lion Capital LLP Authorised N FSA002

401809 Henderson Rowe Ltd Authorised N FSA001

401809 Henderson Rowe Ltd Authorised N FSA002

401821 Davidson Kempner European Partners, LLP Authorised N FSA001

401821 Davidson Kempner European Partners, LLP Authorised N FSA002

401851 PFG-UK Ltd Authorised N FSA001

401851 PFG-UK Ltd Authorised N FSA002

401868 John Laing Capital Management Limited Authorised N FSA001

401868 John Laing Capital Management Limited Authorised N FSA002

401897 European American Capital Services Ltd Authorised N FSA001

401897 European American Capital Services Ltd Authorised N FSA002

401905 Titon Associates Ltd Authorised N FSA001

401905 Titon Associates Ltd Authorised N FSA002

401977 Stonehage Fleming Private Equity Limited Authorised N FSA001

401977 Stonehage Fleming Private Equity Limited Authorised N FSA002

402126 Generation Investment Management LLP Authorised N FSA001

402126 Generation Investment Management LLP Authorised N FSA002

402135 Defined Returns Limited Authorised N FSA001

402135 Defined Returns Limited Authorised N FSA002

402248 Murja Limited Authorised N FSA001

402248 Murja Limited Authorised N FSA002

402423 Fowler Drew Limited Authorised N FSA001

402423 Fowler Drew Limited Authorised N FSA002

402431 Kona Partners LLP Authorised N FSA001

402431 Kona Partners LLP Authorised N FSA002

402456 Varde Partners Europe Ltd Authorised N FSA001

402456 Varde Partners Europe Ltd Authorised N FSA002

Page 39: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

402459 KNG Securities LLP Authorised N FSA001

402459 KNG Securities LLP Authorised N FSA002

402472 MacKintosh Cunningham Consulting Ltd Authorised N FSA001

402472 MacKintosh Cunningham Consulting Ltd Authorised N FSA002

402531 Saltus Partners LLP Authorised N FSA001

402531 Saltus Partners LLP Authorised N FSA002

402568 Atlantic Bridge Capital LLP Authorised N FSA001

402568 Atlantic Bridge Capital LLP Authorised N FSA002

402770 IM Asset Management Ltd Authorised N FSA001

402770 IM Asset Management Ltd Authorised N FSA002

403114 North of South Capital LLP Authorised N FSA001

403114 North of South Capital LLP Authorised N FSA002

403210 Williams Investment Management LLP Authorised N FSA001

403210 Williams Investment Management LLP Authorised N FSA002

403302 Balyasny Europe Asset Management LLP Authorised N FSA001

403302 Balyasny Europe Asset Management LLP Authorised N FSA002

403304 Heptagon Capital LLP Authorised N FSA001

403304 Heptagon Capital LLP Authorised N FSA002

403306 Farallon Capital Europe LLP Authorised N FSA001

403306 Farallon Capital Europe LLP Authorised N FSA002

403317 Xconnect Trading Limited Authorised N FSA001

403317 Xconnect Trading Limited Authorised N FSA002

403434 Beach Horizon LLP Authorised N FSA001

403434 Beach Horizon LLP Authorised N FSA002

403485 MTM Capital Partners Ltd Authorised N FSA001

403485 MTM Capital Partners Ltd Authorised N FSA002

403691 Savigny Partners LLP Authorised N FSA001

403691 Savigny Partners LLP Authorised N FSA002

403721 Panmure Gordon (UK) Limited Authorised N FSA001

403721 Panmure Gordon (UK) Limited Authorised N FSA002

403832 Thurleigh Investment Managers LLP Authorised N FSA001

403832 Thurleigh Investment Managers LLP Authorised N FSA002

407394 Tenax Capital Ltd Authorised N FSA001

407394 Tenax Capital Ltd Authorised N FSA002

407404 Rothschild HDF Investment Adviser Limited Authorised N FSA001

407404 Rothschild HDF Investment Adviser Limited Authorised N FSA002

407851 Aerium Finance Ltd Authorised N FSA001

407851 Aerium Finance Ltd Authorised N FSA002

408210 Fiducia Wealth Management Limited Authorised N FSA001

408210 Fiducia Wealth Management Limited Authorised N FSA002

408240 Bennelong Asset Management LLP Authorised N FSA001

408240 Bennelong Asset Management LLP Authorised N FSA002

409049 RK Capital Management LLP Authorised N FSA001

409049 RK Capital Management LLP Authorised N FSA002

409119 SV Life Sciences Managers LLP Authorised N FSA001

409119 SV Life Sciences Managers LLP Authorised N FSA002

409159 Sloane Robinson LLP Authorised N FSA001

409159 Sloane Robinson LLP Authorised N FSA002

409324 Bedrock Asset Management (UK) Limited Authorised N FSA001

409324 Bedrock Asset Management (UK) Limited Authorised N FSA002

409409 Frenkel Topping Investment Management Limited Authorised N FSA001

409409 Frenkel Topping Investment Management Limited Authorised N FSA002

409723 Tusk Capital Management Ltd Authorised N FSA001

409723 Tusk Capital Management Ltd Authorised N FSA002

409768 GSA Capital Partners LLP Authorised N FSA001

409768 GSA Capital Partners LLP Authorised N FSA002

410624 Bramdean Asset Management LLP Authorised N FSA001

410624 Bramdean Asset Management LLP Authorised N FSA002

Page 40: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

410628 Gruss Capital Management LLP Authorised N FSA001

410628 Gruss Capital Management LLP Authorised N FSA002

413309 Cyrus Capital Partners Europe LLP Authorised N FSA001

413309 Cyrus Capital Partners Europe LLP Authorised N FSA002

413310 EFP Capital LLP Authorised N FSA001

413310 EFP Capital LLP Authorised N FSA002

413446 Bristol York Ltd Authorised N FSA001

413446 Bristol York Ltd Authorised N FSA002

413647 Arrowgrass Capital Partners LLP Authorised N FSA001

413647 Arrowgrass Capital Partners LLP Authorised N FSA002

413666 Power Capital Ltd Authorised N FSA001

413666 Power Capital Ltd Authorised N FSA002

413887 Methodology Asset Management (UK) LLP Authorised N FSA001

413887 Methodology Asset Management (UK) LLP Authorised N FSA002

413892 Penrich Capital UK Ltd Authorised N FSA001

413892 Penrich Capital UK Ltd Authorised N FSA002

414207 TrendWatch Asset Management Ltd Authorised N FSA001

414207 TrendWatch Asset Management Ltd Authorised N FSA002

414396 Blakeney LLP Authorised N FSA001

414396 Blakeney LLP Authorised N FSA002

414858 Park Square Capital, LLP Authorised N FSA001

414858 Park Square Capital, LLP Authorised N FSA002

415036 Orion Global Advisors UK Limited Authorised N FSA001

415036 Orion Global Advisors UK Limited Authorised N FSA002

415230 Arian Financial LLP Authorised N FSA001

415230 Arian Financial LLP Authorised N FSA002

415353 Russell Investments Implementation Services Limited Authorised N FSA001

415353 Russell Investments Implementation Services Limited Authorised N FSA002

415363 Oldfield Partners LLP Authorised N FSA001

415363 Oldfield Partners LLP Authorised N FSA002

415559 Mirabella Financial Services LLP Authorised N FSA001

415559 Mirabella Financial Services LLP Authorised N FSA002

415652 Teachers Financial Services Ltd Authorised N FSA001

415652 Teachers Financial Services Ltd Authorised N FSA002

415899 ITI Capital Limited Authorised N FSA001

415899 ITI Capital Limited Authorised N FSA002

416015 Neptune Investment Management Limited Authorised N FSA001

416015 Neptune Investment Management Limited Authorised N FSA002

416024 Pareto Investment Management Limited Authorised N FSA001

416024 Pareto Investment Management Limited Authorised N FSA002

416226 Thome Asset Management & Asset Controlling Authorised N FSA001

416226 Thome Asset Management & Asset Controlling Authorised N FSA002

416478 C-QUADRAT Asset Management (UK) LLP Authorised N FSA001

416478 C-QUADRAT Asset Management (UK) LLP Authorised N FSA002

416499 Shinsei International Limited Authorised N FSA001

416499 Shinsei International Limited Authorised N FSA002

416689 Omni Partners LLP Authorised N FSA001

416689 Omni Partners LLP Authorised N FSA002

416697 Vantage Capital Markets LLP Authorised N FSA001

416697 Vantage Capital Markets LLP Authorised N FSA002

416900 DTZ Investment Management Limited Authorised N FSA001

416900 DTZ Investment Management Limited Authorised N FSA002

416932 Cenkos Securities PLC Authorised N FSA001

416932 Cenkos Securities PLC Authorised N FSA002

417367 Wealth At Work Limited Authorised N FSA001

417367 Wealth At Work Limited Authorised N FSA002

417447 Chiltern Advisors LLP Authorised N FSA001

417447 Chiltern Advisors LLP Authorised N FSA002

Page 41: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

417448 Trafalgar Capital Management (UK) LLP Authorised N FSA001

417448 Trafalgar Capital Management (UK) LLP Authorised N FSA002

417507 Fenician Capital Management LLP Authorised N FSA001

417507 Fenician Capital Management LLP Authorised N FSA002

417618 North Bridge Capital Partners Limited Authorised N FSA001

417618 North Bridge Capital Partners Limited Authorised N FSA002

417722 Arlingclose Limited Authorised N FSA001

417722 Arlingclose Limited Authorised N FSA002

417741 Pamplona Capital Management LLP Authorised N FSA001

417741 Pamplona Capital Management LLP Authorised N FSA002

418247 Origin Asset Management LLP Authorised N FSA001

418247 Origin Asset Management LLP Authorised N FSA002

419294 EOC Partners LLP Authorised N FSA001

419294 EOC Partners LLP Authorised N FSA002

419405 WMG Advisors LLP Authorised N FSA001

419405 WMG Advisors LLP Authorised N FSA002

419751 Capital Deposit Limited Authorised N FSA001

419751 Capital Deposit Limited Authorised N FSA002

419773 Haslers Corporate Finance LLP Authorised N FSA001

419773 Haslers Corporate Finance LLP Authorised N FSA002

423751 Hanover Investors Management LLP Authorised N FSA001

423751 Hanover Investors Management LLP Authorised N FSA002

424334 Resource Europe Management Limited Authorised N FSA001

424334 Resource Europe Management Limited Authorised N FSA002

425855 Hansa Capital Partners LLP Authorised N FSA001

425855 Hansa Capital Partners LLP Authorised N FSA002

426336 De Lisle Partners LLP Authorised N FSA001

426336 De Lisle Partners LLP Authorised N FSA002

426349 Thames River Capital LLP Authorised N FSA001

426349 Thames River Capital LLP Authorised N FSA002

426641 Coupland Cardiff Asset Management LLP Authorised N FSA001

426641 Coupland Cardiff Asset Management LLP Authorised N FSA002

426749 Providentia Capital LLP Authorised N FSA001

426749 Providentia Capital LLP Authorised N FSA002

428754 All IPO Plc Authorised N FSA001

428754 All IPO Plc Authorised N FSA002

428789 Barratt & Cooke Limited Authorised N FSA001

428789 Barratt & Cooke Limited Authorised N FSA002

428826 Caliburn Capital Partners LLP Authorised N FSA001

428826 Caliburn Capital Partners LLP Authorised N FSA002

429093 Host Capital Limited Authorised N FSA001

429093 Host Capital Limited Authorised N FSA002

429142 L J Financial Planning Ltd Authorised N FSA001

429142 L J Financial Planning Ltd Authorised N FSA002

429209 MENA Capital LLP Authorised N FSA001

429209 MENA Capital LLP Authorised N FSA002

429387 Amiya Capital LLP Authorised N FSA001

429387 Amiya Capital LLP Authorised N FSA002

429806 Deutsche Asset Management (UK) Limited Authorised N FSA001

429806 Deutsche Asset Management (UK) Limited Authorised N FSA002

429992 Linton Capital LLP Authorised N FSA001

429992 Linton Capital LLP Authorised N FSA002

430092 Ruby Capital Partners LLP Authorised N FSA001

430092 Ruby Capital Partners LLP Authorised N FSA002

430278 GO Investment Partners LLP Authorised N FSA001

430278 GO Investment Partners LLP Authorised N FSA002

430410 Blue River Capital Management LLP Authorised N FSA001

430410 Blue River Capital Management LLP Authorised N FSA002

Page 42: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

430477 Oxburgh Partners LLP Authorised N FSA001

430477 Oxburgh Partners LLP Authorised N FSA002

430967 West Point Derivatives Ltd Authorised N FSA001

430967 West Point Derivatives Ltd Authorised N FSA002

430986 New College Capital Ltd Authorised N FSA001

430986 New College Capital Ltd Authorised N FSA002

430991 Eclectica Asset Management LLP Authorised N FSA001

430991 Eclectica Asset Management LLP Authorised N FSA002

431191 Atlantic Alliance Ltd Authorised N FSA001

431191 Atlantic Alliance Ltd Authorised N FSA002

431206 SCD & Co Ltd Authorised N FSA001

431206 SCD & Co Ltd Authorised N FSA002

431387 Gale and Phillipson Ltd Authorised N FSA001

431387 Gale and Phillipson Ltd Authorised N FSA002

431634 UK Structured Finance Limited Authorised N FSA001

431634 UK Structured Finance Limited Authorised N FSA002

431687 AKO Capital LLP Authorised N FSA001

431687 AKO Capital LLP Authorised N FSA002

431709 Endeavour Ventures Limited Authorised N FSA001

431709 Endeavour Ventures Limited Authorised N FSA002

431813 Prusik Investment Management LLP Authorised N FSA001

431813 Prusik Investment Management LLP Authorised N FSA002

431844 Caxton FX Ltd Authorised N FSA001

431844 Caxton FX Ltd Authorised N FSA002

431877 Blue Mountain Capital Partners (London) LLP Authorised N FSA001

431877 Blue Mountain Capital Partners (London) LLP Authorised N FSA002

432014 Prydis Wealth Limited Authorised N FSA001

432014 Prydis Wealth Limited Authorised N FSA002

432387 Audley Capital Advisors LLP Authorised N FSA001

432387 Audley Capital Advisors LLP Authorised N FSA002

432488 Castlefield Investment Partners LLP Authorised N FSA001

432488 Castlefield Investment Partners LLP Authorised N FSA002

432732 Sun Trading International Limited Authorised N FSA001

432732 Sun Trading International Limited Authorised N FSA002

432783 King Street (Europe) LLP Authorised N FSA001

432783 King Street (Europe) LLP Authorised N FSA002

432886 Towers Watson Limited Authorised N FSA001

432886 Towers Watson Limited Authorised N FSA002

432937 Securis Investment Partners LLP Authorised N FSA001

432937 Securis Investment Partners LLP Authorised N FSA002

432985 Cadwyn Capital LLP Authorised N FSA001

432985 Cadwyn Capital LLP Authorised N FSA002

433055 Iceni Capital LLP Authorised N FSA001

433055 Iceni Capital LLP Authorised N FSA002

433066 GoldenTree Asset Management UK LLP Authorised N FSA001

433066 GoldenTree Asset Management UK LLP Authorised N FSA002

433208 Fogwill & Jones Asset Management Ltd Authorised N FSA001

433208 Fogwill & Jones Asset Management Ltd Authorised N FSA002

433300 Kuvera Capital Partners LLP Authorised N FSA001

433300 Kuvera Capital Partners LLP Authorised N FSA002

433422 Capula Investment Management LLP Authorised N FSA001

433422 Capula Investment Management LLP Authorised N FSA002

433604 Greater Pacific Capital LLP Authorised N FSA001

433604 Greater Pacific Capital LLP Authorised N FSA002

433809 Argonaut Capital Partners LLP Authorised N FSA001

433809 Argonaut Capital Partners LLP Authorised N FSA002

433980 Bluehone Investors LLP Authorised N FSA001

433980 Bluehone Investors LLP Authorised N FSA002

Page 43: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

433985 P. Schoenfeld Asset Management LLP Authorised N FSA001

433985 P. Schoenfeld Asset Management LLP Authorised N FSA002

434062 Graphite Capital Management LLP Authorised N FSA001

434062 Graphite Capital Management LLP Authorised N FSA002

434203 Tiburon Partners LLP Authorised N FSA001

434203 Tiburon Partners LLP Authorised N FSA002

434216 Gladstone Capital Management LLP Authorised N FSA001

434216 Gladstone Capital Management LLP Authorised N FSA002

434231 Thayer Brook Partners LLP Authorised N FSA001

434231 Thayer Brook Partners LLP Authorised N FSA002

434413 Activtrades Plc Authorised N FSA001

434413 Activtrades Plc Authorised N FSA002

434493 S W Mitchell Capital LLP Authorised N FSA001

434493 S W Mitchell Capital LLP Authorised N FSA002

434611 Fortress Investment Group (UK) Ltd Authorised N FSA001

434611 Fortress Investment Group (UK) Ltd Authorised N FSA002

434823 Palatium Investment Management Limited Authorised N FSA001

434823 Palatium Investment Management Limited Authorised N FSA002

434932 Amerro Asset Management LLP Authorised N FSA001

434932 Amerro Asset Management LLP Authorised N FSA002

434982 Scion Financial Partners Limited Authorised N FSA001

434982 Scion Financial Partners Limited Authorised N FSA002

435443 European Co-investment Partners LLP Authorised N FSA001

435443 European Co-investment Partners LLP Authorised N FSA002

435487 AEW Global Advisors (Europe) Ltd Authorised N FSA001

435487 AEW Global Advisors (Europe) Ltd Authorised N FSA002

435490 Northcross Capital LLP Authorised N FSA001

435490 Northcross Capital LLP Authorised N FSA002

435657 Aberforth Partners LLP Authorised N FSA001

435657 Aberforth Partners LLP Authorised N FSA002

435658 Lyxor Asset Management UK LLP Authorised N FSA001

435658 Lyxor Asset Management UK LLP Authorised N FSA002

435957 Zadig Asset Management LLP Authorised N FSA001

435957 Zadig Asset Management LLP Authorised N FSA002

436048 Alpha Real Capital LLP Authorised N FSA001

436048 Alpha Real Capital LLP Authorised N FSA002

436069 Intrinsic Value Investors (IVI) LLP Authorised N FSA001

436069 Intrinsic Value Investors (IVI) LLP Authorised N FSA002

436215 Dinosaur Merchant Bank Limited Authorised N FSA001

436215 Dinosaur Merchant Bank Limited Authorised N FSA002

436243 Cavenham Capital Limited Authorised N FSA001

436243 Cavenham Capital Limited Authorised N FSA002

436319 Axon Partners LLP Authorised N FSA001

436319 Axon Partners LLP Authorised N FSA002

437243 Shore Capital Ltd Authorised N FSA001

437243 Shore Capital Ltd Authorised N FSA002

437348 Vanneck Limited Authorised N FSA001

437348 Vanneck Limited Authorised N FSA002

437466 Infinity Capital Management Ltd Authorised N FSA001

437466 Infinity Capital Management Ltd Authorised N FSA002

437507 Heronbridge Investment Management LLP Authorised N FSA001

437507 Heronbridge Investment Management LLP Authorised N FSA002

437558 Global Investment Strategy UK Ltd Authorised N FSA001

437558 Global Investment Strategy UK Ltd Authorised N FSA002

438046 Polar Capital LLP Authorised N FSA001

438046 Polar Capital LLP Authorised N FSA002

438123 Mooreland Partners LLP Authorised N FSA001

438123 Mooreland Partners LLP Authorised N FSA002

Page 44: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

438253 Basso Associates UK Limited Authorised N FSA001

438253 Basso Associates UK Limited Authorised N FSA002

438377 Oak Hill Advisors (Europe) LLP Authorised N FSA001

438377 Oak Hill Advisors (Europe) LLP Authorised N FSA002

438417 EEA Fund Management Limited Authorised N FSA001

438417 EEA Fund Management Limited Authorised N FSA002

438537 RASMALA PLC Authorised N FSA001

438537 RASMALA PLC Authorised N FSA002

438687 FNZ (UK) Ltd Authorised N FSA001

438687 FNZ (UK) Ltd Authorised N FSA002

438697 Capital Markets Strategy Ltd Authorised N FSA001

438697 Capital Markets Strategy Ltd Authorised N FSA002

438887 M. Horn & Co. Ltd Authorised N FSA001

438887 M. Horn & Co. Ltd Authorised N FSA002

438892 Peterhouse Capital Asset Management Limited Authorised N FSA001

438892 Peterhouse Capital Asset Management Limited Authorised N FSA002

439327 Millennium Capital Partners LLP Authorised N FSA001

439327 Millennium Capital Partners LLP Authorised N FSA002

439744 AK Jensen Limited Authorised N FSA001

439744 AK Jensen Limited Authorised N FSA002

439995 Knight Frank Investment Management LLP Authorised N FSA001

439995 Knight Frank Investment Management LLP Authorised N FSA002

440130 Riverfield Partners LLP Authorised N FSA001

440130 Riverfield Partners LLP Authorised N FSA002

440137 Marwyn Investment Management LLP Authorised N FSA001

440137 Marwyn Investment Management LLP Authorised N FSA002

440617 Rynda Property Investors LLP Authorised N FSA001

440617 Rynda Property Investors LLP Authorised N FSA002

440946 Hawkwood Capital LLP Authorised N FSA001

440946 Hawkwood Capital LLP Authorised N FSA002

441074 St Johns Asset Management Limited Authorised N FSA001

441074 St Johns Asset Management Limited Authorised N FSA002

441261 Harbert European Fund Advisors Ltd Authorised N FSA001

441261 Harbert European Fund Advisors Ltd Authorised N FSA002

441316 Maxis Investments Ltd Authorised N FSA001

441316 Maxis Investments Ltd Authorised N FSA002

441360 Creditex Brokerage LLP Authorised N FSA001

441360 Creditex Brokerage LLP Authorised N FSA002

441689 ACM GROUP LTD Authorised N FSA001

441689 ACM GROUP LTD Authorised N FSA002

441837 MONTAGU FINANCIAL LIMITED Authorised N FSA001

441837 MONTAGU FINANCIAL LIMITED Authorised N FSA002

441847 Promethean Investments LLP Authorised N FSA001

441847 Promethean Investments LLP Authorised N FSA002

441877 Equitrade Markets Ltd Authorised N FSA001

441877 Equitrade Markets Ltd Authorised N FSA002

441896 Bain Capital Credit, Ltd. Authorised N FSA001

441896 Bain Capital Credit, Ltd. Authorised N FSA002

442230 Nestle Capital Management Ltd Authorised N FSA001

442230 Nestle Capital Management Ltd Authorised N FSA002

442488 Neuberger Berman Europe Limited Authorised N FSA001

442488 Neuberger Berman Europe Limited Authorised N FSA002

442495 Pembroke Capital Advisors Limited Authorised N FSA001

442495 Pembroke Capital Advisors Limited Authorised N FSA002

442698 Sarabaite Limited Authorised N FSA001

442698 Sarabaite Limited Authorised N FSA002

442744 Cowen International Limited Authorised N FSA001

442744 Cowen International Limited Authorised N FSA002

Page 45: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

442767 Marex Financial Limited Authorised N FSA001

442767 Marex Financial Limited Authorised N FSA002

442833 Lesmoir-Gordon, Boyle & Co Limited Authorised N FSA001

442833 Lesmoir-Gordon, Boyle & Co Limited Authorised N FSA002

443048 CZ Capital LLP Authorised N FSA001

443048 CZ Capital LLP Authorised N FSA002

443440 CIM Investment Management Ltd Authorised N FSA001

443440 CIM Investment Management Ltd Authorised N FSA002

443586 City House Investors Limited Authorised N FSA001

443586 City House Investors Limited Authorised N FSA002

443685 Acheron Capital Ltd Authorised N FSA001

443685 Acheron Capital Ltd Authorised N FSA002

443827 The Wealth Group Limited Authorised N FSA001

443827 The Wealth Group Limited Authorised N FSA002

445637 Solon Ventures Ltd Authorised N FSA001

445637 Solon Ventures Ltd Authorised N FSA002

445917 Williams Trading Europe LLP Authorised N FSA001

445917 Williams Trading Europe LLP Authorised N FSA002

445959 Artefact Partners LLP Authorised N FSA001

445959 Artefact Partners LLP Authorised N FSA002

446159 SVB Financial Group UK Limited Authorised N FSA001

446159 SVB Financial Group UK Limited Authorised N FSA002

446173 CDK Investments LLP Authorised N FSA001

446173 CDK Investments LLP Authorised N FSA002

446227 Witan Investment Services Limited Authorised N FSA001

446227 Witan Investment Services Limited Authorised N FSA002

446302 HiFM Limited Authorised N FSA001

446302 HiFM Limited Authorised N FSA002

446352 Cerberus European Capital Advisors, LLP Authorised N FSA001

446352 Cerberus European Capital Advisors, LLP Authorised N FSA002

446442 Perinvest (UK) Limited Authorised N FSA001

446442 Perinvest (UK) Limited Authorised N FSA002

446483 Investcorp Credit Management EU Limited Authorised N FSA001

446483 Investcorp Credit Management EU Limited Authorised N FSA002

446495 NPJ Asset Management LLP Authorised N FSA001

446495 NPJ Asset Management LLP Authorised N FSA002

446677 Spread Co Limited Authorised N FSA001

446677 Spread Co Limited Authorised N FSA002

446717 INTL FCStone LTD Authorised N FSA001

446717 INTL FCStone LTD Authorised N FSA002

446735 Currency Genius Limited Authorised N FSA001

446735 Currency Genius Limited Authorised N FSA002

446740 Towers Watson Investment Management Limited Authorised N FSA001

446740 Towers Watson Investment Management Limited Authorised N FSA002

447020 Intrinsic Capital LLP Authorised N FSA001

447020 Intrinsic Capital LLP Authorised N FSA002

447041 LGIM Real Assets (Operator) Limited Authorised N FSA001

447041 LGIM Real Assets (Operator) Limited Authorised N FSA002

447079 European Capital Financial Services Ltd Authorised N FSA001

447079 European Capital Financial Services Ltd Authorised N FSA002

447203 Fund Analytics Investment Management LLP Authorised N FSA001

447203 Fund Analytics Investment Management LLP Authorised N FSA002

447225 Magnetar Financial (UK) LLP Authorised N FSA001

447225 Magnetar Financial (UK) LLP Authorised N FSA002

447281 TS CAPITAL LIMITED Authorised N FSA001

447281 TS CAPITAL LIMITED Authorised N FSA002

447282 Laven Advisors LLP Authorised N FSA001

447282 Laven Advisors LLP Authorised N FSA002

Page 46: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

447424 Ocean Dial Asset Management Limited Authorised N FSA001

447424 Ocean Dial Asset Management Limited Authorised N FSA002

447450 Citadel Securities (Europe) Limited Authorised N FSA001

447450 Citadel Securities (Europe) Limited Authorised N FSA002

447452 Advent Capital Management UK Limited Authorised N FSA001

447452 Advent Capital Management UK Limited Authorised N FSA002

447549 Balmuir Partners Limited Authorised N FSA001

447549 Balmuir Partners Limited Authorised N FSA002

447825 SBICAP (UK) Ltd Authorised N FSA001

447825 SBICAP (UK) Ltd Authorised N FSA002

447884 Invista Real Estate Investment Management Ltd Authorised N FSA001

447884 Invista Real Estate Investment Management Ltd Authorised N FSA002

448002 Alpari (UK) Ltd Authorised N FSA001

448002 Alpari (UK) Ltd Authorised N FSA002

448118 Bury Street Capital Ltd Authorised N FSA001

448118 Bury Street Capital Ltd Authorised N FSA002

448288 Euronova Asset Management UK LLP Authorised N FSA001

448288 Euronova Asset Management UK LLP Authorised N FSA002

448399 FIXI Plc Authorised N FSA001

448399 FIXI Plc Authorised N FSA002

448509 ADG Financial Products LLP Authorised N FSA001

448509 ADG Financial Products LLP Authorised N FSA002

448652 Ocorian (UK) Limited Authorised N FSA001

448652 Ocorian (UK) Limited Authorised N FSA002

448741 Cartesian Capital Partners LLP Authorised N FSA001

448741 Cartesian Capital Partners LLP Authorised N FSA002

448896 LGT Capital Partners (U.K.) Limited Authorised N FSA001

448896 LGT Capital Partners (U.K.) Limited Authorised N FSA002

449191 Merlin Partners LLP Authorised N FSA001

449191 Merlin Partners LLP Authorised N FSA002

449212 Paulson Europe LLP Authorised N FSA001

449212 Paulson Europe LLP Authorised N FSA002

449269 CANTAB ASSET MANAGEMENT LIMITED Authorised N FSA001

449269 CANTAB ASSET MANAGEMENT LIMITED Authorised N FSA002

449372 GSO Capital Partners International LLP Authorised N FSA001

449372 GSO Capital Partners International LLP Authorised N FSA002

449426 CGR Capital LLP Authorised N FSA001

449426 CGR Capital LLP Authorised N FSA002

449468 Morningstar Investment Management Europe Limited Authorised N FSA001

449468 Morningstar Investment Management Europe Limited Authorised N FSA002

449481 Chi-X Europe Limited Authorised N FSA001

449481 Chi-X Europe Limited Authorised N FSA002

449528 Hedge Funds Investment Management Ltd Authorised N FSA001

449528 Hedge Funds Investment Management Ltd Authorised N FSA002

449549 Orthogonal Partners LLP Authorised N FSA001

449549 Orthogonal Partners LLP Authorised N FSA002

449720 Cornhill Capital Limited Authorised N FSA001

449720 Cornhill Capital Limited Authorised N FSA002

450224 London Exchange Group Limited Authorised N FSA001

450224 London Exchange Group Limited Authorised N FSA002

450391 Oceanwood Capital Management LLP Authorised N FSA001

450391 Oceanwood Capital Management LLP Authorised N FSA002

450404 Alternative Asset Management Ltd Authorised N FSA001

450404 Alternative Asset Management Ltd Authorised N FSA002

450657 Capital Advisory Partners Ltd Authorised N FSA001

450657 Capital Advisory Partners Ltd Authorised N FSA002

450681 Chayton Capital LLP Authorised N FSA001

450681 Chayton Capital LLP Authorised N FSA002

Page 47: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

450754 J M Finn & Co Ltd Authorised N FSA001

450754 J M Finn & Co Ltd Authorised N FSA002

450906 South West Capital Partners LLP Authorised N FSA001

450906 South West Capital Partners LLP Authorised N FSA002

451073 Stoneware Capital LLP Authorised N FSA001

451073 Stoneware Capital LLP Authorised N FSA002

451200 Brockton Capital LLP Authorised N FSA001

451200 Brockton Capital LLP Authorised N FSA002

451230 Genesis Wealth Limited Authorised N FSA001

451230 Genesis Wealth Limited Authorised N FSA002

451295 Hollyport Capital LLP Authorised N FSA001

451295 Hollyport Capital LLP Authorised N FSA002

451361 Odey Wealth Management (UK) Limited Authorised N FSA001

451361 Odey Wealth Management (UK) Limited Authorised N FSA002

451422 Tassi & Co. Ltd Authorised N FSA001

451422 Tassi & Co. Ltd Authorised N FSA002

451446 Stone Harbor Investment Partners (UK), LLP Authorised N FSA001

451446 Stone Harbor Investment Partners (UK), LLP Authorised N FSA002

451504 Dynamo Capital LLP Authorised N FSA001

451504 Dynamo Capital LLP Authorised N FSA002

451618 CR Global LLP Authorised N FSA001

451618 CR Global LLP Authorised N FSA002

451634 Grosvenor Financial Asset Management Limited Authorised N FSA001

451634 Grosvenor Financial Asset Management Limited Authorised N FSA002

451695 The Exeter Practice Limited Authorised N FSA001

451695 The Exeter Practice Limited Authorised N FSA002

451724 Alphaone Partners LLP Authorised N FSA001

451724 Alphaone Partners LLP Authorised N FSA002

452050 Alchemy Special Opportunities LLP Authorised N FSA001

452050 Alchemy Special Opportunities LLP Authorised N FSA002

452247 Broadgate Mercury Limited Authorised N FSA001

452247 Broadgate Mercury Limited Authorised N FSA002

452261 Equilibrium Asset Management LLP Authorised N FSA001

452261 Equilibrium Asset Management LLP Authorised N FSA002

452320 Vantage Securities Limited Authorised N FSA001

452320 Vantage Securities Limited Authorised N FSA002

452333 BTG Pactual Europe LLP Authorised N FSA001

452333 BTG Pactual Europe LLP Authorised N FSA002

452340 The Cambridge Strategy (Asset Management) Limited Authorised N FSA001

452340 The Cambridge Strategy (Asset Management) Limited Authorised N FSA002

452443 Moneycorp Financial Risk Management Limited Authorised N FSA001

452443 Moneycorp Financial Risk Management Limited Authorised N FSA002

452635 Storm Capital Management Ltd Authorised N FSA001

452635 Storm Capital Management Ltd Authorised N FSA002

452656 AMP Capital Investors (UK) Limited Authorised N FSA001

452656 AMP Capital Investors (UK) Limited Authorised N FSA002

452811 Sturgeon Ventures LLP Authorised N FSA001

452811 Sturgeon Ventures LLP Authorised N FSA002

452858 Asgard Partners Limited Authorised N FSA001

452858 Asgard Partners Limited Authorised N FSA002

452877 Apollo Management International LLP Authorised N FSA001

452877 Apollo Management International LLP Authorised N FSA002

453007 Prosper Capital LLP Authorised N FSA001

453007 Prosper Capital LLP Authorised N FSA002

453014 Titian Global Investments LLP Authorised N FSA001

453014 Titian Global Investments LLP Authorised N FSA002

453021 Sirio Financial Advisory Ltd Authorised N FSA001

453021 Sirio Financial Advisory Ltd Authorised N FSA002

Page 48: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

453053 CBRE Clarion Securities UK Limited Authorised N FSA001

453053 CBRE Clarion Securities UK Limited Authorised N FSA002

453087 River and Mercantile Asset Management LLP Authorised N FSA001

453087 River and Mercantile Asset Management LLP Authorised N FSA002

453138 Evolution Securities China Ltd Authorised N FSA001

453138 Evolution Securities China Ltd Authorised N FSA002

453217 Utilyx Risk Management Ltd Authorised N FSA001

453217 Utilyx Risk Management Ltd Authorised N FSA002

453268 VARIANCE CAPITAL ASSET MANAGEMENT LLP Authorised N FSA001

453268 VARIANCE CAPITAL ASSET MANAGEMENT LLP Authorised N FSA002

453328 Perella Weinberg Partners UK LLP Authorised N FSA001

453328 Perella Weinberg Partners UK LLP Authorised N FSA002

453419 Castlelake (UK) LLP Authorised N FSA001

453419 Castlelake (UK) LLP Authorised N FSA002

453635 CVC Credit Partners Limited Authorised N FSA001

453635 CVC Credit Partners Limited Authorised N FSA002

453653 First Avenue Partners LLP Authorised N FSA001

453653 First Avenue Partners LLP Authorised N FSA002

453676 Nplus1 Singer Capital Markets Limited Authorised N FSA001

453676 Nplus1 Singer Capital Markets Limited Authorised N FSA002

453682 Hay Hill Wealth Management Limited Authorised N FSA001

453682 Hay Hill Wealth Management Limited Authorised N FSA002

453701 Amiri Capital LLP Authorised N FSA001

453701 Amiri Capital LLP Authorised N FSA002

453707 Barton Brown Limited Authorised N FSA001

453707 Barton Brown Limited Authorised N FSA002

453736 Algebris Investments (UK) LLP Authorised N FSA001

453736 Algebris Investments (UK) LLP Authorised N FSA002

453934 Abingworth LLP Authorised N FSA001

453934 Abingworth LLP Authorised N FSA002

454270 Arma Partners LLP Authorised N FSA001

454270 Arma Partners LLP Authorised N FSA002

454330 CBA Europe Ltd Authorised N FSA001

454330 CBA Europe Ltd Authorised N FSA002

454382 Argan Capital Advisors LLP Authorised N FSA001

454382 Argan Capital Advisors LLP Authorised N FSA002

454402 LNG Capital LLP Authorised N FSA001

454402 LNG Capital LLP Authorised N FSA002

454569 Target Servicing Limited Authorised N FSA001

454569 Target Servicing Limited Authorised N FSA002

454571 Fletcher King Investment Management Plc Authorised N FSA001

454571 Fletcher King Investment Management Plc Authorised N FSA002

454655 ADM Capital Europe LLP Authorised N FSA001

454655 ADM Capital Europe LLP Authorised N FSA002

454659 Myddleton Croft Ltd Authorised N FSA001

454659 Myddleton Croft Ltd Authorised N FSA002

454748 Phoenix Partners Group LLP Authorised N FSA001

454748 Phoenix Partners Group LLP Authorised N FSA002

454814 BGC Brokers L.P Authorised N FSA001

454814 BGC Brokers L.P Authorised N FSA002

454833 Brooks Macdonald Funds Limited Authorised N FSA001

454833 Brooks Macdonald Funds Limited Authorised N FSA002

454878 Context Analysis Limited Authorised N FSA001

454878 Context Analysis Limited Authorised N FSA002

454907 Toscafund Asset Management LLP Authorised N FSA001

454907 Toscafund Asset Management LLP Authorised N FSA002

455084 Ironshield Capital Management LLP Authorised N FSA001

455084 Ironshield Capital Management LLP Authorised N FSA002

Page 49: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

455242 First International Group Plc Authorised N FSA001

455242 First International Group Plc Authorised N FSA002

455367 Alpcot Capital Management Ltd Authorised N FSA001

455367 Alpcot Capital Management Ltd Authorised N FSA002

455487 Cantab Capital Partners LLP Authorised N FSA001

455487 Cantab Capital Partners LLP Authorised N FSA002

455547 Ares Management Limited Authorised N FSA001

455547 Ares Management Limited Authorised N FSA002

455686 Salisbury Partners LLP Authorised N FSA001

455686 Salisbury Partners LLP Authorised N FSA002

455718 Casteel Capital LLP Authorised N FSA001

455718 Casteel Capital LLP Authorised N FSA002

455895 Aubrey Capital Management Limited Authorised N FSA001

455895 Aubrey Capital Management Limited Authorised N FSA002

456117 Nucleus Financial Services Ltd Authorised N FSA001

456117 Nucleus Financial Services Ltd Authorised N FSA002

456135 Livingbridge VC LLP Authorised N FSA001

456135 Livingbridge VC LLP Authorised N FSA002

456315 HFR Asset Management U.K., Limited Authorised N FSA001

456315 HFR Asset Management U.K., Limited Authorised N FSA002

456530 Icon Capital Ltd Authorised N FSA001

456530 Icon Capital Ltd Authorised N FSA002

456571 Canyon Capital Advisors (Europe) Ltd Authorised N FSA001

456571 Canyon Capital Advisors (Europe) Ltd Authorised N FSA002

456572 Tellurian Capital Management LLP Authorised N FSA001

456572 Tellurian Capital Management LLP Authorised N FSA002

456593 Mill Finance Ltd Authorised N FSA001

456593 Mill Finance Ltd Authorised N FSA002

456597 Triple Point Investment Management LLP Authorised N FSA001

456597 Triple Point Investment Management LLP Authorised N FSA002

456745 Catalysis Capital Partners Limited Authorised N FSA001

456745 Catalysis Capital Partners Limited Authorised N FSA002

456771 Diapason Commodities Management UK LLP Authorised N FSA001

456771 Diapason Commodities Management UK LLP Authorised N FSA002

456779 Global Finance & Capital Limited Authorised N FSA001

456779 Global Finance & Capital Limited Authorised N FSA002

456804 Novum Securities Limited Authorised N FSA001

456804 Novum Securities Limited Authorised N FSA002

456864 Cheyne Capital Management (UK) LLP Authorised N FSA001

456864 Cheyne Capital Management (UK) LLP Authorised N FSA002

456896 Cathedral Financial Management Ltd Authorised N FSA001

456896 Cathedral Financial Management Ltd Authorised N FSA002

457058 Scottish Friendly Insurance Services Ltd Authorised N FSA001

457058 Scottish Friendly Insurance Services Ltd Authorised N FSA002

457169 Viking Global Investors Europe LLP Authorised N FSA001

457169 Viking Global Investors Europe LLP Authorised N FSA002

457558 Fairstone Private Weath Ltd Authorised N FSA001

457558 Fairstone Private Weath Ltd Authorised N FSA002

457637 Tacconis Advisors & Co LLP Authorised N FSA001

457637 Tacconis Advisors & Co LLP Authorised N FSA002

457686 Fundamental Tracker Investment Management Limited Authorised N FSA001

457686 Fundamental Tracker Investment Management Limited Authorised N FSA002

457782 Capital Finance Strategies Ltd Authorised N FSA001

457782 Capital Finance Strategies Ltd Authorised N FSA002

458250 Hassium Asset Management LLP Authorised N FSA001

458250 Hassium Asset Management LLP Authorised N FSA002

458459 Cohen & Steers UK Ltd Authorised N FSA001

458459 Cohen & Steers UK Ltd Authorised N FSA002

Page 50: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

458730 Taconic Capital Advisors UK LLP Authorised N FSA001

458730 Taconic Capital Advisors UK LLP Authorised N FSA002

458820 FSE Fund Managers Limited Authorised N FSA001

458820 FSE Fund Managers Limited Authorised N FSA002

458997 Deutsche Alternative Asset Management (Global) Limited Authorised N FSA001

458997 Deutsche Alternative Asset Management (Global) Limited Authorised N FSA002

459234 8AM Global LLP Authorised N FSA001

459234 8AM Global LLP Authorised N FSA002

459237 Sanlam FOUR Investments UK Limited Authorised N FSA001

459237 Sanlam FOUR Investments UK Limited Authorised N FSA002

459325 Meteor Asset Management Limited Authorised N FSA001

459325 Meteor Asset Management Limited Authorised N FSA002

459481 Hewitt Risk Management Services Limited Authorised N FSA001

459481 Hewitt Risk Management Services Limited Authorised N FSA002

459504 Moore Europe Capital Management, LLP Authorised N FSA001

459504 Moore Europe Capital Management, LLP Authorised N FSA002

459566 Old Mill Financial Planning LLP Authorised N FSA001

459566 Old Mill Financial Planning LLP Authorised N FSA002

459816 Hastings Funds Management (UK) Limited Authorised N FSA001

459816 Hastings Funds Management (UK) Limited Authorised N FSA002

459840 Granville Capital Management Limited Authorised N FSA001

459840 Granville Capital Management Limited Authorised N FSA002

459903 CQS Investment Management Limited Authorised N FSA001

459903 CQS Investment Management Limited Authorised N FSA002

459920 Onslow Capital Management Ltd Authorised N FSA001

459920 Onslow Capital Management Ltd Authorised N FSA002

460061 Tokai Tokyo Securities Europe Limited Authorised N FSA001

460061 Tokai Tokyo Securities Europe Limited Authorised N FSA002

460177 Visor Capital (UK) Limited Authorised N FSA001

460177 Visor Capital (UK) Limited Authorised N FSA002

460224 Acadian Asset Management (UK) Limited Authorised N FSA001

460224 Acadian Asset Management (UK) Limited Authorised N FSA002

460233 Capital Alliance Partners Limited Authorised N FSA001

460233 Capital Alliance Partners Limited Authorised N FSA002

460325 AA Advisers LLP Authorised N FSA001

460325 AA Advisers LLP Authorised N FSA002

460360 Frostrow Capital LLP Authorised N FSA001

460360 Frostrow Capital LLP Authorised N FSA002

460465 MxP Partners LLP Authorised N FSA001

460465 MxP Partners LLP Authorised N FSA002

460546 City of London Financial Services Limited Authorised N FSA001

460546 City of London Financial Services Limited Authorised N FSA002

460710 Cohen & Company Financial Limited Authorised N FSA001

460710 Cohen & Company Financial Limited Authorised N FSA002

460724 GMSA Investments Limited Authorised N FSA001

460724 GMSA Investments Limited Authorised N FSA002

460772 MSS Real Estate LLP Authorised N FSA001

460772 MSS Real Estate LLP Authorised N FSA002

461061 Orchard Street Investment Advisers Limited Authorised N FSA001

461061 Orchard Street Investment Advisers Limited Authorised N FSA002

461079 Silverfleet Capital Partners LLP Authorised N FSA001

461079 Silverfleet Capital Partners LLP Authorised N FSA002

461089 Inspire Wealth Ltd Authorised N FSA001

461089 Inspire Wealth Ltd Authorised N FSA002

461148 Results International Group LLP Authorised N FSA001

461148 Results International Group LLP Authorised N FSA002

461444 IBIS Capital Partners LLP Authorised N FSA001

461444 IBIS Capital Partners LLP Authorised N FSA002

Page 51: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

461545 Oxford Asset Management LLP Authorised N FSA001

461545 Oxford Asset Management LLP Authorised N FSA002

461601 Farley & Thompson LLP Authorised N FSA001

461601 Farley & Thompson LLP Authorised N FSA002

462001 Tavira Securities Ltd Authorised N FSA001

462001 Tavira Securities Ltd Authorised N FSA002

462016 Killik & Co LLP Authorised N FSA001

462016 Killik & Co LLP Authorised N FSA002

462026 Drawbridge (UK) LLP Authorised N FSA001

462026 Drawbridge (UK) LLP Authorised N FSA002

462037 Channel Capital Advisors LLP Authorised N FSA001

462037 Channel Capital Advisors LLP Authorised N FSA002

462047 Hampstead Capital LLP Authorised N FSA001

462047 Hampstead Capital LLP Authorised N FSA002

462085 Parmenion Capital Partners LLP Authorised N FSA001

462085 Parmenion Capital Partners LLP Authorised N FSA002

462092 ARDIAN INVESTMENT UK LIMITED Authorised N FSA001

462092 ARDIAN INVESTMENT UK LIMITED Authorised N FSA002

462363 Wyetree Asset Management Ltd Authorised N FSA001

462363 Wyetree Asset Management Ltd Authorised N FSA002

462657 Andrews Gwynne LLP Authorised N FSA001

462657 Andrews Gwynne LLP Authorised N FSA002

462960 CITCO Financial Products (London) Ltd Authorised N FSA001

462960 CITCO Financial Products (London) Ltd Authorised N FSA002

463084 IFDS Financial Services Ltd Authorised N FSA001

463084 IFDS Financial Services Ltd Authorised N FSA002

463103 SilverStreet Capital LLP Authorised N FSA001

463103 SilverStreet Capital LLP Authorised N FSA002

463260 The Social Investment Market Community Interest Company Authorised N FSA001

463260 The Social Investment Market Community Interest Company Authorised N FSA002

463566 Praemium Administration Limited Authorised N FSA001

463566 Praemium Administration Limited Authorised N FSA002

463866 New Europe Advisers Limited Authorised N FSA001

463866 New Europe Advisers Limited Authorised N FSA002

463878 CF Partners (UK) LLP Authorised N FSA001

463878 CF Partners (UK) LLP Authorised N FSA002

463947 Patrimoine Partners LLP Authorised N FSA001

463947 Patrimoine Partners LLP Authorised N FSA002

463991 Alquity Investment Management Limited Authorised N FSA001

463991 Alquity Investment Management Limited Authorised N FSA002

464113 Hybridan LLP Authorised N FSA001

464113 Hybridan LLP Authorised N FSA002

464195 First Property Asset Management Ltd Authorised N FSA001

464195 First Property Asset Management Ltd Authorised N FSA002

464314 Jump Trading International Limited Authorised N FSA001

464314 Jump Trading International Limited Authorised N FSA002

464315 Infinity Asset Management LLP Authorised N FSA001

464315 Infinity Asset Management LLP Authorised N FSA002

464494 AES Financial Services Ltd Authorised N FSA001

464494 AES Financial Services Ltd Authorised N FSA002

464560 Forum Partners Europe (UK) LLP Authorised N FSA001

464560 Forum Partners Europe (UK) LLP Authorised N FSA002

464776 TreeTop Asset Management LLP Authorised N FSA001

464776 TreeTop Asset Management LLP Authorised N FSA002

465050 Liberum Capital Limited Authorised N FSA001

465050 Liberum Capital Limited Authorised N FSA002

465103 Inflection Point Investments LLP Authorised N FSA001

465103 Inflection Point Investments LLP Authorised N FSA002

Page 52: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

465131 Northern Trust Securities LLP Authorised N FSA001

465131 Northern Trust Securities LLP Authorised N FSA002

465408 Cerno Capital Partners LLP Authorised N FSA001

465408 Cerno Capital Partners LLP Authorised N FSA002

465415 Thompson Taraz Depositary Limited Authorised N FSA001

465415 Thompson Taraz Depositary Limited Authorised N FSA002

465486 Methorios Capital LLP Authorised N FSA001

465486 Methorios Capital LLP Authorised N FSA002

465790 Tibra Trading Europe Limited Authorised N FSA001

465790 Tibra Trading Europe Limited Authorised N FSA002

465791 Windsor Investment Funds LLP Authorised N FSA001

465791 Windsor Investment Funds LLP Authorised N FSA002

465847 Permira Debt Managers Limited Authorised N FSA001

465847 Permira Debt Managers Limited Authorised N FSA002

466152 Calunius Capital LLP Authorised N FSA001

466152 Calunius Capital LLP Authorised N FSA002

466199 Wharton Asset Management UK LLP Authorised N FSA001

466199 Wharton Asset Management UK LLP Authorised N FSA002

466201 C B Financial Services Limited Authorised N FSA001

466201 C B Financial Services Limited Authorised N FSA002

466464 Tower Research Capital Europe Limited Authorised N FSA001

466464 Tower Research Capital Europe Limited Authorised N FSA002

466533 Dawn Capital LLP Authorised N FSA001

466533 Dawn Capital LLP Authorised N FSA002

466575 Consortium Investment Management LLP Authorised N FSA001

466575 Consortium Investment Management LLP Authorised N FSA002

466655 York Trust LLP Authorised N FSA001

466655 York Trust LLP Authorised N FSA002

466684 Standard Life Wealth Limited Authorised N FSA001

466684 Standard Life Wealth Limited Authorised N FSA002

466728 Plurimi Wealth LLP Authorised N FSA001

466728 Plurimi Wealth LLP Authorised N FSA002

466915 ICF Management Limited Authorised N FSA001

466915 ICF Management Limited Authorised N FSA002

467032 Zebedee Capital Partners LLP Authorised N FSA001

467032 Zebedee Capital Partners LLP Authorised N FSA002

467505 Amber Capital UK LLP Authorised N FSA001

467505 Amber Capital UK LLP Authorised N FSA002

467535 Mirae Asset Global Investments (UK) Limited Authorised N FSA001

467535 Mirae Asset Global Investments (UK) Limited Authorised N FSA002

467766 FinnCap Ltd Authorised N FSA001

467766 FinnCap Ltd Authorised N FSA002

467771 Edison Wealth Management Limited Authorised N FSA001

467771 Edison Wealth Management Limited Authorised N FSA002

467777 Turnbull Ker LLP Authorised N FSA001

467777 Turnbull Ker LLP Authorised N FSA002

468022 Rudolf Wolff Limited Authorised N FSA001

468022 Rudolf Wolff Limited Authorised N FSA002

468094 Caburn Advisers LLP Authorised N FSA001

468094 Caburn Advisers LLP Authorised N FSA002

468222 GMP Securities Europe LLP Authorised N FSA001

468222 GMP Securities Europe LLP Authorised N FSA002

468321 Connor Broadley Ltd Authorised N FSA001

468321 Connor Broadley Ltd Authorised N FSA002

468385 Hazel Capital LLP Authorised N FSA001

468385 Hazel Capital LLP Authorised N FSA002

468631 Equiniti Financial Services Limited Authorised N FSA001

468631 Equiniti Financial Services Limited Authorised N FSA002

Page 53: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

468801 Omada Investment Management Limited Authorised N FSA001

468801 Omada Investment Management Limited Authorised N FSA002

468817 Hekla Advisory Services LLP Authorised N FSA001

468817 Hekla Advisory Services LLP Authorised N FSA002

469085 Aermont Capital LLP Authorised N FSA001

469085 Aermont Capital LLP Authorised N FSA002

469093 GML Capital LLP Authorised N FSA001

469093 GML Capital LLP Authorised N FSA002

469094 Mitsui Bussan Commodities Ltd Authorised N FSA001

469094 Mitsui Bussan Commodities Ltd Authorised N FSA002

469150 Alexander David Securities Limited Authorised N FSA001

469150 Alexander David Securities Limited Authorised N FSA002

469459 Ebrokers (UK) LLP Authorised N FSA001

469459 Ebrokers (UK) LLP Authorised N FSA002

469485 Thames River Multi-Capital LLP Authorised N FSA001

469485 Thames River Multi-Capital LLP Authorised N FSA002

469674 Federated Investors (UK) LLP Authorised N FSA001

469674 Federated Investors (UK) LLP Authorised N FSA002

469919 FIS Global Execution Services Limited Authorised N FSA001

469919 FIS Global Execution Services Limited Authorised N FSA002

469934 SL Capital Partners LLP Authorised N FSA001

469934 SL Capital Partners LLP Authorised N FSA002

469971 Lennox Investment Management LLP Authorised N FSA001

469971 Lennox Investment Management LLP Authorised N FSA002

470085 Alpha Capital Partners LLP Authorised N FSA001

470085 Alpha Capital Partners LLP Authorised N FSA002

470234 SAM Capital Partners Ltd Authorised N FSA001

470234 SAM Capital Partners Ltd Authorised N FSA002

470238 DeaconCapital Asset Management LLP Authorised N FSA001

470238 DeaconCapital Asset Management LLP Authorised N FSA002

470246 EM-ES Fund Management LLP Authorised N FSA001

470246 EM-ES Fund Management LLP Authorised N FSA002

470325 Electronic and Voice Foreign Exchange Limited Authorised N FSA001

470325 Electronic and Voice Foreign Exchange Limited Authorised N FSA002

470343 Somerset Capital Management LLP Authorised N FSA001

470343 Somerset Capital Management LLP Authorised N FSA002

470388 Generation Asset Management (UK) Limited Authorised N FSA001

470388 Generation Asset Management (UK) Limited Authorised N FSA002

470392 Finotec Trading UK Limited Authorised N FSA001

470392 Finotec Trading UK Limited Authorised N FSA002

470652 Kings Park Capital LLP Authorised N FSA001

470652 Kings Park Capital LLP Authorised N FSA002

470980 Lazuli Partners LLP Authorised N FSA001

470980 Lazuli Partners LLP Authorised N FSA002

471048 LGT Vestra LLP Authorised N FSA001

471048 LGT Vestra LLP Authorised N FSA002

471124 Sustainable Development Capital LLP Authorised N FSA001

471124 Sustainable Development Capital LLP Authorised N FSA002

471186 Privium Fund Management (UK) Limited Authorised N FSA001

471186 Privium Fund Management (UK) Limited Authorised N FSA002

471196 Equitix Investment Management Limited Authorised N FSA001

471196 Equitix Investment Management Limited Authorised N FSA002

471207 Hedley & Company Stockbrokers Limited Authorised N FSA001

471207 Hedley & Company Stockbrokers Limited Authorised N FSA002

471342 PMM Advisers LLP Authorised N FSA001

471342 PMM Advisers LLP Authorised N FSA002

471375 IPS Capital LLP Authorised N FSA001

471375 IPS Capital LLP Authorised N FSA002

Page 54: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

471469 Principal & Prosper Holdings Limited Authorised N FSA001

471469 Principal & Prosper Holdings Limited Authorised N FSA002

471754 Hinde Capital Ltd Authorised N FSA001

471754 Hinde Capital Ltd Authorised N FSA002

471885 KKR Capital Markets Limited Authorised N FSA001

471885 KKR Capital Markets Limited Authorised N FSA002

471958 Insparo Asset Management Ltd Authorised N FSA001

471958 Insparo Asset Management Ltd Authorised N FSA002

471987 Siguler Guff UK LLP Authorised N FSA001

471987 Siguler Guff UK LLP Authorised N FSA002

472013 CD Capital (UK) Limited Authorised N FSA001

472013 CD Capital (UK) Limited Authorised N FSA002

472385 Lancaster Investment Management LLP Authorised N FSA001

472385 Lancaster Investment Management LLP Authorised N FSA002

472627 Flight & Partners Limited Authorised N FSA001

472627 Flight & Partners Limited Authorised N FSA002

472694 Palmer Capital LLP Authorised N FSA001

472694 Palmer Capital LLP Authorised N FSA002

472774 Brandywine Global Investment Management (Europe) Limited Authorised N FSA001

472774 Brandywine Global Investment Management (Europe) Limited Authorised N FSA002

472780 Convergex Limited Authorised N FSA001

472780 Convergex Limited Authorised N FSA002

472798 Mason Capital Europe LLP Authorised N FSA001

472798 Mason Capital Europe LLP Authorised N FSA002

472818 Capital Systematics Ltd Authorised N FSA001

472818 Capital Systematics Ltd Authorised N FSA002

472929 Hawksmoor Investment Management Ltd Authorised N FSA001

472929 Hawksmoor Investment Management Ltd Authorised N FSA002

472944 NEX SEF Limited Authorised N FSA001

472944 NEX SEF Limited Authorised N FSA002

473101 Noster Capital LLP Authorised N FSA001

473101 Noster Capital LLP Authorised N FSA002

473282 Capstone Investment Advisors (UK) LLP Authorised N FSA001

473282 Capstone Investment Advisors (UK) LLP Authorised N FSA002

473312 Central Markets (London) Limited Authorised N FSA001

473312 Central Markets (London) Limited Authorised N FSA002

473422 Bowmark Capital LLP Authorised N FSA001

473422 Bowmark Capital LLP Authorised N FSA002

473656 Redtower Asset Management Ltd Authorised N FSA001

473656 Redtower Asset Management Ltd Authorised N FSA002

473710 PFP Wealth Management LLP Authorised N FSA001

473710 PFP Wealth Management LLP Authorised N FSA002

473712 Square Capital LLP Authorised N FSA001

473712 Square Capital LLP Authorised N FSA002

473719 Exception Capital LLP Authorised N FSA001

473719 Exception Capital LLP Authorised N FSA002

473775 H.I.G. Capital International Advisors, LLP Authorised N FSA001

473775 H.I.G. Capital International Advisors, LLP Authorised N FSA002

474016 Maxwell Asset Management LTD Authorised N FSA001

474016 Maxwell Asset Management LTD Authorised N FSA002

474277 Sun Global Investments Limited Authorised N FSA001

474277 Sun Global Investments Limited Authorised N FSA002

474286 RWC Asset Management LLP Authorised N FSA001

474286 RWC Asset Management LLP Authorised N FSA002

474331 Cambridge Associates Limited Authorised N FSA001

474331 Cambridge Associates Limited Authorised N FSA002

474455 Mesirow Financial International UK Ltd Authorised N FSA001

474455 Mesirow Financial International UK Ltd Authorised N FSA002

Page 55: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

474602 Capital Generation Partners LLP Authorised N FSA001

474602 Capital Generation Partners LLP Authorised N FSA002

474710 Stellar Asset Management Limited Authorised N FSA001

474710 Stellar Asset Management Limited Authorised N FSA002

474928 MIO Partners (EU) Limited Authorised N FSA001

474928 MIO Partners (EU) Limited Authorised N FSA002

474980 Greenlight Capital (UK) LLP Authorised N FSA001

474980 Greenlight Capital (UK) LLP Authorised N FSA002

475069 Clerville Investment Management LLP Authorised N FSA001

475069 Clerville Investment Management LLP Authorised N FSA002

475111 Sarasin & Partners LLP Authorised N FSA001

475111 Sarasin & Partners LLP Authorised N FSA002

475264 Rockspring Property Investment Managers Limited Liability Partnership Authorised N FSA001

475264 Rockspring Property Investment Managers Limited Liability Partnership Authorised N FSA002

475285 Accendo Markets Limited Authorised N FSA001

475285 Accendo Markets Limited Authorised N FSA002

475370 Brown Advisory Limited Authorised N FSA001

475370 Brown Advisory Limited Authorised N FSA002

475615 Halstead Independent Financial Management Limited Authorised N FSA001

475615 Halstead Independent Financial Management Limited Authorised N FSA002

475658 Kennox Asset Management Limited Authorised N FSA001

475658 Kennox Asset Management Limited Authorised N FSA002

475743 Partners Capital LLP Authorised N FSA001

475743 Partners Capital LLP Authorised N FSA002

475824 Sator Capital Limited Authorised N FSA001

475824 Sator Capital Limited Authorised N FSA002

475828 Central Markets Investment Management Limited Authorised N FSA001

475828 Central Markets Investment Management Limited Authorised N FSA002

475857 Marble Bar Asset Management LLP Authorised N FSA001

475857 Marble Bar Asset Management LLP Authorised N FSA002

475880 Pacific View Asset Management (UK) LLP Authorised N FSA001

475880 Pacific View Asset Management (UK) LLP Authorised N FSA002

475886 Broadwalk Asset Management LLP Authorised N FSA001

475886 Broadwalk Asset Management LLP Authorised N FSA002

475953 Equity For Growth (Securities) Limited Authorised N FSA001

475953 Equity For Growth (Securities) Limited Authorised N FSA002

476031 FMR Investment Management (UK) Limited Authorised N FSA001

476031 FMR Investment Management (UK) Limited Authorised N FSA002

476078 DMA Markets Limited Authorised N FSA001

476078 DMA Markets Limited Authorised N FSA002

476091 Providence Asset Management Ltd Authorised N FSA001

476091 Providence Asset Management Ltd Authorised N FSA002

476373 FIL Real Estate Investment Management Limited Authorised N FSA001

476373 FIL Real Estate Investment Management Limited Authorised N FSA002

476468 Atom Capital Limited Authorised N FSA001

476468 Atom Capital Limited Authorised N FSA002

476555 Magna Capital Limited Authorised N FSA001

476555 Magna Capital Limited Authorised N FSA002

476739 Elbrus Capital Partners LLP Authorised N FSA001

476739 Elbrus Capital Partners LLP Authorised N FSA002

476896 Wellian Investment Solutions Limited Authorised N FSA001

476896 Wellian Investment Solutions Limited Authorised N FSA002

476897 Giltspur Capital LLP Authorised N FSA001

476897 Giltspur Capital LLP Authorised N FSA002

476903 Prisma Capital Management International LLP Authorised N FSA001

476903 Prisma Capital Management International LLP Authorised N FSA002

477024 Butler Investment Managers Ltd Authorised N FSA001

477024 Butler Investment Managers Ltd Authorised N FSA002

Page 56: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

477155 PairsTech Capital Management LLP Authorised N FSA001

477155 PairsTech Capital Management LLP Authorised N FSA002

477266 GO ETF Solutions LLP Authorised N FSA001

477266 GO ETF Solutions LLP Authorised N FSA002

477328 Architas Multi-Manager Limited Authorised N FSA001

477328 Architas Multi-Manager Limited Authorised N FSA002

477561 World First Markets Limited Authorised N FSA001

477561 World First Markets Limited Authorised N FSA002

477870 Old Park Lane Capital Limited Authorised N FSA001

477870 Old Park Lane Capital Limited Authorised N FSA002

477881 36 South Capital Advisors LLP Authorised N FSA001

477881 36 South Capital Advisors LLP Authorised N FSA002

477914 Enko Capital Management LLP Authorised N FSA001

477914 Enko Capital Management LLP Authorised N FSA002

478013 Pensato Capital LLP Authorised N FSA001

478013 Pensato Capital LLP Authorised N FSA002

478099 Vermilion Capital Partners LLP Authorised N FSA001

478099 Vermilion Capital Partners LLP Authorised N FSA002

478159 OSIRIS Capital Partners LLP Authorised N FSA001

478159 OSIRIS Capital Partners LLP Authorised N FSA002

478269 Acoro Capital Partners LLP Authorised N FSA001

478269 Acoro Capital Partners LLP Authorised N FSA002

478306 CHALLENGER MANAGEMENT SERVICES (UK) LIMITED Authorised N FSA001

478306 CHALLENGER MANAGEMENT SERVICES (UK) LIMITED Authorised N FSA002

478314 Blue Gate Capital Ltd Authorised N FSA001

478314 Blue Gate Capital Ltd Authorised N FSA002

478321 Odin Capital Management Ltd Authorised N FSA001

478321 Odin Capital Management Ltd Authorised N FSA002

478424 Forte Securities Limited Authorised N FSA001

478424 Forte Securities Limited Authorised N FSA002

478493 EMF Capital (UK) Limited Authorised N FSA001

478493 EMF Capital (UK) Limited Authorised N FSA002

478800 Clearbell Fund Management Limited Authorised N FSA001

478800 Clearbell Fund Management Limited Authorised N FSA002

478840 PSigma Investment Management Limited Authorised N FSA001

478840 PSigma Investment Management Limited Authorised N FSA002

478936 Tejara Capital Limited Authorised N FSA001

478936 Tejara Capital Limited Authorised N FSA002

479032 Promethion Ltd Authorised N FSA001

479032 Promethion Ltd Authorised N FSA002

479120 Sapien Capital Limited Authorised N FSA001

479120 Sapien Capital Limited Authorised N FSA002

479172 Milkstone Ltd Authorised N FSA001

479172 Milkstone Ltd Authorised N FSA002

479377 London Wealth Management Limited Authorised N FSA001

479377 London Wealth Management Limited Authorised N FSA002

479694 Curzon Securities Ltd Authorised N FSA001

479694 Curzon Securities Ltd Authorised N FSA002

479702 Oxford University Endowment Management Limited Authorised N FSA001

479702 Oxford University Endowment Management Limited Authorised N FSA002

479707 Bradesco Securities UK Limited Authorised N FSA001

479707 Bradesco Securities UK Limited Authorised N FSA002

479764 Liontrust Investments Limited Authorised N FSA001

479764 Liontrust Investments Limited Authorised N FSA002

479809 Montpelier Investment Management LLP Authorised N FSA001

479809 Montpelier Investment Management LLP Authorised N FSA002

479827 London Stone Securities Limited Authorised N FSA001

479827 London Stone Securities Limited Authorised N FSA002

Page 57: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

480069 Crossbridge Capital LLP Authorised N FSA001

480069 Crossbridge Capital LLP Authorised N FSA002

480430 Ashridge Capital Investments LLP Authorised N FSA001

480430 Ashridge Capital Investments LLP Authorised N FSA002

480570 AGC Equity Partners Limited Authorised N FSA001

480570 AGC Equity Partners Limited Authorised N FSA002

480590 Kepler Partners LLP Authorised N FSA001

480590 Kepler Partners LLP Authorised N FSA002

480843 Wedbush Europe Ltd Authorised N FSA001

480843 Wedbush Europe Ltd Authorised N FSA002

480961 Nimrod Capital LLP Authorised N FSA001

480961 Nimrod Capital LLP Authorised N FSA002

480992 Goodman Operator (UK) Limited Authorised N FSA001

480992 Goodman Operator (UK) Limited Authorised N FSA002

481068 MEX (Europe) Limited Authorised N FSA001

481068 MEX (Europe) Limited Authorised N FSA002

481246 LBV Asset Management LLP Authorised N FSA001

481246 LBV Asset Management LLP Authorised N FSA002

481247 Prosdocimi Limited Authorised N FSA001

481247 Prosdocimi Limited Authorised N FSA002

481272 Zenkyoren Europe Ltd Authorised N FSA001

481272 Zenkyoren Europe Ltd Authorised N FSA002

481493 Beetle Capital Partners LLP Authorised N FSA001

481493 Beetle Capital Partners LLP Authorised N FSA002

481600 Novia Financial Plc Authorised N FSA001

481600 Novia Financial Plc Authorised N FSA002

481853 CFH CLEARING LIMITED Authorised N FSA001

481853 CFH CLEARING LIMITED Authorised N FSA002

481871 Eriswell Capital Management LLP Authorised N FSA001

481871 Eriswell Capital Management LLP Authorised N FSA002

481888 Twentyfour Asset Management LLP Authorised N FSA001

481888 Twentyfour Asset Management LLP Authorised N FSA002

482237 HPS Investment Partners (UK) LLP Authorised N FSA001

482237 HPS Investment Partners (UK) LLP Authorised N FSA002

482269 Green Street Advisors (UK) Ltd Authorised N FSA001

482269 Green Street Advisors (UK) Ltd Authorised N FSA002

482324 City Capital Markets Ltd Authorised N FSA001

482324 City Capital Markets Ltd Authorised N FSA002

482326 SCOBIE FINANCE LLP Authorised N FSA001

482326 SCOBIE FINANCE LLP Authorised N FSA002

482458 Ranmore Fund Management Ltd Authorised N FSA001

482458 Ranmore Fund Management Ltd Authorised N FSA002

482470 Vantage Investment Group Ltd Authorised N FSA001

482470 Vantage Investment Group Ltd Authorised N FSA002

482677 Hoare Capital Markets LLP Authorised N FSA001

482677 Hoare Capital Markets LLP Authorised N FSA002

483053 Vision Capital LLP Authorised N FSA001

483053 Vision Capital LLP Authorised N FSA002

483199 Rampart Capital LLP Authorised N FSA001

483199 Rampart Capital LLP Authorised N FSA002

483229 Grainmarket Asset Management LLP Authorised N FSA001

483229 Grainmarket Asset Management LLP Authorised N FSA002

483267 Cluttons Capital Partners LLP Authorised N FSA001

483267 Cluttons Capital Partners LLP Authorised N FSA002

483281 Fix City Ltd Authorised N FSA001

483281 Fix City Ltd Authorised N FSA002

483311 Charles Street Securities Europe LLP Authorised N FSA001

483311 Charles Street Securities Europe LLP Authorised N FSA002

Page 58: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

483451 Numen Capital LLP Authorised N FSA001

483451 Numen Capital LLP Authorised N FSA002

483635 Vega Swiss Asset Management UK LLP Authorised N FSA001

483635 Vega Swiss Asset Management UK LLP Authorised N FSA002

483816 Samena Capital Management LLP Authorised N FSA001

483816 Samena Capital Management LLP Authorised N FSA002

483856 Oppenheimer Europe Ltd. Authorised N FSA001

483856 Oppenheimer Europe Ltd. Authorised N FSA002

483868 Collins Sarri Statham Investments Limited Authorised N FSA001

483868 Collins Sarri Statham Investments Limited Authorised N FSA002

484392 Chenavari Credit Partners LLP Authorised N FSA001

484392 Chenavari Credit Partners LLP Authorised N FSA002

484589 BTIG Limited Authorised N FSA001

484589 BTIG Limited Authorised N FSA002

484833 Beechbrook Capital LLP Authorised N FSA001

484833 Beechbrook Capital LLP Authorised N FSA002

485161 Silk Invest Limited Authorised N FSA001

485161 Silk Invest Limited Authorised N FSA002

485165 Beaufort Asset Clearing Services Limited Authorised N FSA001

485165 Beaufort Asset Clearing Services Limited Authorised N FSA002

485326 Cargill Financial Services Europe Limited Authorised N FSA001

485326 Cargill Financial Services Europe Limited Authorised N FSA002

485362 Sigma Broking Limited Authorised N FSA001

485362 Sigma Broking Limited Authorised N FSA002

485371 QW Capital LLP Authorised N FSA001

485371 QW Capital LLP Authorised N FSA002

485435 Guggenheim Securities International Limited Authorised N FSA001

485435 Guggenheim Securities International Limited Authorised N FSA002

485451 Soditic Asset Management LLP Authorised N FSA001

485451 Soditic Asset Management LLP Authorised N FSA002

485658 Riverhill Partners LLP Authorised N FSA001

485658 Riverhill Partners LLP Authorised N FSA002

485668 Par Fund Management Ltd Authorised N FSA001

485668 Par Fund Management Ltd Authorised N FSA002

485836 Orbis Portfolio Management (Europe) LLP Authorised N FSA001

485836 Orbis Portfolio Management (Europe) LLP Authorised N FSA002

486062 Ebullio Capital Management LLP in liquidation Authorised N FSA001

486062 Ebullio Capital Management LLP in liquidation Authorised N FSA002

486112 Leadenhall Capital Partners LLP Authorised N FSA001

486112 Leadenhall Capital Partners LLP Authorised N FSA002

486239 Prestige Asset Management Limited Authorised N FSA001

486239 Prestige Asset Management Limited Authorised N FSA002

486368 BT Pension Scheme Management Limited Authorised N FSA001

486368 BT Pension Scheme Management Limited Authorised N FSA002

486382 SFM UK Management LLP Authorised N FSA001

486382 SFM UK Management LLP Authorised N FSA002

486546 Jane Street Financial Ltd Authorised N FSA001

486546 Jane Street Financial Ltd Authorised N FSA002

486872 Optis Investment Management Limited Authorised N FSA001

486872 Optis Investment Management Limited Authorised N FSA002

487176 Gallium Fund Solutions Limited Authorised N FSA001

487176 Gallium Fund Solutions Limited Authorised N FSA002

487255 Vespa Capital LLP Authorised N FSA001

487255 Vespa Capital LLP Authorised N FSA002

487302 Hermes European Equities Limited Authorised N FSA001

487302 Hermes European Equities Limited Authorised N FSA002

487425 Gemini Environmental Markets Ltd Authorised N FSA001

487425 Gemini Environmental Markets Ltd Authorised N FSA002

Page 59: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

487458 Apollo Multi Asset Management LLP Authorised N FSA001

487458 Apollo Multi Asset Management LLP Authorised N FSA002

487568 Sothic Capital Management LLP Authorised N FSA001

487568 Sothic Capital Management LLP Authorised N FSA002

487620 Adam Street Advisers Corporate Finance LLP Authorised N FSA001

487620 Adam Street Advisers Corporate Finance LLP Authorised N FSA002

487699 Tokio Marine Asset Management (London) Ltd Authorised N FSA001

487699 Tokio Marine Asset Management (London) Ltd Authorised N FSA002

487707 Voriana Capital Partners LLP Authorised N FSA001

487707 Voriana Capital Partners LLP Authorised N FSA002

487788 Eiger Trading Advisors Limited Authorised N FSA001

487788 Eiger Trading Advisors Limited Authorised N FSA002

487918 Clavis Walden Investments Limited Authorised N FSA001

487918 Clavis Walden Investments Limited Authorised N FSA002

488171 CASTLE HARBOUR SECURITIES LLP Authorised N FSA001

488171 CASTLE HARBOUR SECURITIES LLP Authorised N FSA002

488297 Seven Pillars Capital Management LLP Authorised N FSA001

488297 Seven Pillars Capital Management LLP Authorised N FSA002

488385 Archipelago Investment Partners LLP Authorised N FSA001

488385 Archipelago Investment Partners LLP Authorised N FSA002

488525 Susa Fund Management LLP Authorised N FSA001

488525 Susa Fund Management LLP Authorised N FSA002

488582 NAB Europe Limited Authorised N FSA001

488582 NAB Europe Limited Authorised N FSA002

488658 Harpsden Wealth Management Limited Authorised N FSA001

488658 Harpsden Wealth Management Limited Authorised N FSA002

488706 Contrarius Investment Advisory Limited Authorised N FSA001

488706 Contrarius Investment Advisory Limited Authorised N FSA002

488822 Albert E Sharp LLP Authorised N FSA001

488822 Albert E Sharp LLP Authorised N FSA002

488900 Cedar Capital Markets Limited Authorised N FSA001

488900 Cedar Capital Markets Limited Authorised N FSA002

489357 Brilliance Financial Planning Ltd Authorised N FSA001

489357 Brilliance Financial Planning Ltd Authorised N FSA002

489408 Vintage Asset Management Ltd Authorised N FSA001

489408 Vintage Asset Management Ltd Authorised N FSA002

489432 Jason Capital Partners LLP Authorised N FSA001

489432 Jason Capital Partners LLP Authorised N FSA002

489448 Indigo Global Partners Limited Authorised N FSA001

489448 Indigo Global Partners Limited Authorised N FSA002

489493 Wimbledon Asset Management Ltd Authorised N FSA001

489493 Wimbledon Asset Management Ltd Authorised N FSA002

489530 Maven Global LLP Authorised N FSA001

489530 Maven Global LLP Authorised N FSA002

489602 BriceAmery Capital Ltd Authorised N FSA001

489602 BriceAmery Capital Ltd Authorised N FSA002

489643 Mirabaud Securities LLP Authorised N FSA001

489643 Mirabaud Securities LLP Authorised N FSA002

489670 The Risk Management Group Ltd Authorised N FSA001

489670 The Risk Management Group Ltd Authorised N FSA002

489718 MASECO LLP Authorised N FSA001

489718 MASECO LLP Authorised N FSA002

489795 Allenby Capital Limited Authorised N FSA001

489795 Allenby Capital Limited Authorised N FSA002

489807 MCM Bespoke Investment Services Limited Authorised N FSA001

489807 MCM Bespoke Investment Services Limited Authorised N FSA002

489808 Buckland Capital Partners Ltd Authorised N FSA001

489808 Buckland Capital Partners Ltd Authorised N FSA002

Page 60: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

489839 Talbot Capital Ltd Authorised N FSA001

489839 Talbot Capital Ltd Authorised N FSA002

489939 FPP Asset Management LLP Authorised N FSA001

489939 FPP Asset Management LLP Authorised N FSA002

490473 Epiris Advisers LLP Authorised N FSA001

490473 Epiris Advisers LLP Authorised N FSA002

490521 Direct Market Touch Ltd Authorised N FSA001

490521 Direct Market Touch Ltd Authorised N FSA002

490575 CheckRisk LLP Authorised N FSA001

490575 CheckRisk LLP Authorised N FSA002

490625 Go4Venture Advisers LLP Authorised N FSA001

490625 Go4Venture Advisers LLP Authorised N FSA002

490834 Consortium Capital Ltd Authorised N FSA001

490834 Consortium Capital Ltd Authorised N FSA002

491003 Star Fund Managers LLP Authorised N FSA001

491003 Star Fund Managers LLP Authorised N FSA002

491120 Citadel Europe LLP Authorised N FSA001

491120 Citadel Europe LLP Authorised N FSA002

491208 Chryson Limited Authorised N FSA001

491208 Chryson Limited Authorised N FSA002

491377 Islandbridge Capital Ltd Authorised N FSA001

491377 Islandbridge Capital Ltd Authorised N FSA002

492155 Tudor Capital Europe LLP Authorised N FSA001

492155 Tudor Capital Europe LLP Authorised N FSA002

492519 Guardian Stockbrokers Ltd Authorised N FSA001

492519 Guardian Stockbrokers Ltd Authorised N FSA002

492520 Tricadia Europe LLP Authorised N FSA001

492520 Tricadia Europe LLP Authorised N FSA002

492678 Bluefin Europe LLP Authorised N FSA001

492678 Bluefin Europe LLP Authorised N FSA002

492733 Bainbridge Partners LLP Authorised N FSA001

492733 Bainbridge Partners LLP Authorised N FSA002

492769 Liquidity Finance LLP Authorised N FSA001

492769 Liquidity Finance LLP Authorised N FSA002

492896 StormHarbour Alternative Investments LLP Authorised N FSA001

492896 StormHarbour Alternative Investments LLP Authorised N FSA002

493131 R.J. O'Brien (UK) Limited Authorised N FSA001

493131 R.J. O'Brien (UK) Limited Authorised N FSA002

493437 American Century Investment Management (UK) Limited Authorised N FSA001

493437 American Century Investment Management (UK) Limited Authorised N FSA002

493591 Oakfield Capital Partners LLP Authorised N FSA001

493591 Oakfield Capital Partners LLP Authorised N FSA002

494001 strand capital limited Authorised N FSA001

494001 strand capital limited Authorised N FSA002

494250 Orchard Global Asset Management LLP Authorised N FSA001

494250 Orchard Global Asset Management LLP Authorised N FSA002

494494 Barnett Waddingham LLP Authorised N FSA001

494494 Barnett Waddingham LLP Authorised N FSA002

494671 Olivetree Financial Limited Authorised N FSA001

494671 Olivetree Financial Limited Authorised N FSA002

494699 Vanguard Investments UK, Ltd Authorised N FSA001

494699 Vanguard Investments UK, Ltd Authorised N FSA002

494735 Oriel Asset Management LLP Authorised N FSA001

494735 Oriel Asset Management LLP Authorised N FSA002

495699 Currencies Direct Financial Markets Limited Authorised N FSA001

495699 Currencies Direct Financial Markets Limited Authorised N FSA002

495713 Liontrust Investment Solutions Limited Authorised N FSA001

495713 Liontrust Investment Solutions Limited Authorised N FSA002

Page 61: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

495728 Piton Capital LLP Authorised N FSA001

495728 Piton Capital LLP Authorised N FSA002

495729 Amber Fund Management Limited Authorised N FSA001

495729 Amber Fund Management Limited Authorised N FSA002

495794 Founding Asset Management Limited Authorised N FSA001

495794 Founding Asset Management Limited Authorised N FSA002

495929 Maven Capital Partners UK LLP Authorised N FSA001

495929 Maven Capital Partners UK LLP Authorised N FSA002

496214 Tideway Investment Partners LLP Authorised N FSA001

496214 Tideway Investment Partners LLP Authorised N FSA002

496413 WHEB Asset Management LLP Authorised N FSA001

496413 WHEB Asset Management LLP Authorised N FSA002

496585 Ronin Trading UK LLP Authorised N FSA001

496585 Ronin Trading UK LLP Authorised N FSA002

496588 Goodhart Partners LLP Authorised N FSA001

496588 Goodhart Partners LLP Authorised N FSA002

496654 ADG Capital Management LLP Authorised N FSA001

496654 ADG Capital Management LLP Authorised N FSA002

496748 Episteme Capital Partners (UK) LLP Authorised N FSA001

496748 Episteme Capital Partners (UK) LLP Authorised N FSA002

496863 MilleniumAssociates (UK) Limited Authorised N FSA001

496863 MilleniumAssociates (UK) Limited Authorised N FSA002

496880 Meteor Investment Management Ltd Authorised N FSA001

496880 Meteor Investment Management Ltd Authorised N FSA002

497164 Falcon Money Management LLP Authorised N FSA001

497164 Falcon Money Management LLP Authorised N FSA002

497263 Velocity Trade International Limited Authorised N FSA001

497263 Velocity Trade International Limited Authorised N FSA002

497337 Oceana Investment Partners LLP Authorised N FSA001

497337 Oceana Investment Partners LLP Authorised N FSA002

497425 inProp Capital LLP Authorised N FSA001

497425 inProp Capital LLP Authorised N FSA002

497432 GMG Brokers Ltd Authorised N FSA001

497432 GMG Brokers Ltd Authorised N FSA002

497525 SCM Private LLP Authorised N FSA001

497525 SCM Private LLP Authorised N FSA002

497534 RiverRock Securities Limited Authorised N FSA001

497534 RiverRock Securities Limited Authorised N FSA002

497640 TRIUM CAPITAL LLP Authorised N FSA001

497640 TRIUM CAPITAL LLP Authorised N FSA002

498199 The TJM Partnership PLC Authorised N FSA001

498199 The TJM Partnership PLC Authorised N FSA002

498294 Evoia Capital LLP Authorised N FSA001

498294 Evoia Capital LLP Authorised N FSA002

498338 Coventry Capital Ltd Authorised N FSA001

498338 Coventry Capital Ltd Authorised N FSA002

498522 Delphi Securities Limited Authorised N FSA001

498522 Delphi Securities Limited Authorised N FSA002

498617 MET Capital Management LLP Authorised N FSA001

498617 MET Capital Management LLP Authorised N FSA002

498633 Birwood Limited Authorised N FSA001

498633 Birwood Limited Authorised N FSA002

498824 Prefequity LLP Authorised N FSA001

498824 Prefequity LLP Authorised N FSA002

498991 Independent Franchise Partners LLP Authorised N FSA001

498991 Independent Franchise Partners LLP Authorised N FSA002

499010 Sagil Capital LLP Authorised N FSA001

499010 Sagil Capital LLP Authorised N FSA002

Page 62: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

499087 Terium LLP Authorised N FSA001

499087 Terium LLP Authorised N FSA002

499311 Barker Poland Asset Management LLP Authorised N FSA001

499311 Barker Poland Asset Management LLP Authorised N FSA002

499323 Octant Capital UK LLP Authorised N FSA001

499323 Octant Capital UK LLP Authorised N FSA002

499335 Chalkhill Partners LLP Authorised N FSA001

499335 Chalkhill Partners LLP Authorised N FSA002

499403 New Nordic Capital LLP Authorised N FSA001

499403 New Nordic Capital LLP Authorised N FSA002

499510 Redmayne-Bentley LLP Authorised N FSA001

499510 Redmayne-Bentley LLP Authorised N FSA002

499549 Tyrus Capital LLP Authorised N FSA001

499549 Tyrus Capital LLP Authorised N FSA002

499724 SRP Risk & Finance LLP Authorised N FSA001

499724 SRP Risk & Finance LLP Authorised N FSA002

499809 Anchorage Capital Europe, LLP Authorised N FSA001

499809 Anchorage Capital Europe, LLP Authorised N FSA002

500116 Hilltop Fund Management LLP Authorised N FSA001

500116 Hilltop Fund Management LLP Authorised N FSA002

500311 Sophrosyne Ventures LLP Authorised N FSA001

500311 Sophrosyne Ventures LLP Authorised N FSA002

500315 Green Ash Partners LLP Authorised N FSA001

500315 Green Ash Partners LLP Authorised N FSA002

500338 AIG Asset Management (Europe) Ltd Authorised N FSA001

500338 AIG Asset Management (Europe) Ltd Authorised N FSA002

500470 Global Credit Partners (UK) LLP Authorised N FSA001

500470 Global Credit Partners (UK) LLP Authorised N FSA002

500498 Autonomous Research LLP Authorised N FSA001

500498 Autonomous Research LLP Authorised N FSA002

500593 Avon Capital Estates Management Limited Authorised N FSA001

500593 Avon Capital Estates Management Limited Authorised N FSA002

500710 Berkeley Asset Management LLP Authorised N FSA001

500710 Berkeley Asset Management LLP Authorised N FSA002

500908 Townsend Group Europe Limited Authorised N FSA001

500908 Townsend Group Europe Limited Authorised N FSA002

501057 Infinox Capital Limited Authorised N FSA001

501057 Infinox Capital Limited Authorised N FSA002

501320 GKFX Financial Services Limited Authorised N FSA001

501320 GKFX Financial Services Limited Authorised N FSA002

501341 Lofoten Asset Management Ltd Authorised N FSA001

501341 Lofoten Asset Management Ltd Authorised N FSA002

501453 1OAK Capital Limited Authorised N FSA001

501453 1OAK Capital Limited Authorised N FSA002

501651 Brompton Asset Management LLP Authorised N FSA001

501651 Brompton Asset Management LLP Authorised N FSA002

501656 RGL Capital LLP Authorised N FSA001

501656 RGL Capital LLP Authorised N FSA002

501695 S&T Asset Management LLP Authorised N FSA001

501695 S&T Asset Management LLP Authorised N FSA002

502150 Camomille LLP Authorised N FSA001

502150 Camomille LLP Authorised N FSA002

502154 RiverRock European Capital Partners LLP Authorised N FSA001

502154 RiverRock European Capital Partners LLP Authorised N FSA002

502209 Amias Berman & Co LLP Authorised N FSA001

502209 Amias Berman & Co LLP Authorised N FSA002

502237 Parkwalk Advisors Ltd Authorised N FSA001

502237 Parkwalk Advisors Ltd Authorised N FSA002

Page 63: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

502242 Quartet Capital Partners LLP Authorised N FSA001

502242 Quartet Capital Partners LLP Authorised N FSA002

502305 Serone Capital Management LLP Authorised N FSA001

502305 Serone Capital Management LLP Authorised N FSA002

502462 Northedge Capital LLP Authorised N FSA001

502462 Northedge Capital LLP Authorised N FSA002

502504 Bell Capital Partners LLP Authorised N FSA001

502504 Bell Capital Partners LLP Authorised N FSA002

502505 DBJ Europe Limited Authorised N FSA001

502505 DBJ Europe Limited Authorised N FSA002

502619 Hubwise Securities Limited Authorised N FSA001

502619 Hubwise Securities Limited Authorised N FSA002

502635 Hantec Markets Limited Authorised N FSA001

502635 Hantec Markets Limited Authorised N FSA002

503015 Gatemore Capital Management LLP Authorised N FSA001

503015 Gatemore Capital Management LLP Authorised N FSA002

503146 Talenta Capital LLP Authorised N FSA001

503146 Talenta Capital LLP Authorised N FSA002

503303 Kestrel Partners LLP Authorised N FSA001

503303 Kestrel Partners LLP Authorised N FSA002

503323 FirstEnergy Capital LLP Authorised N FSA001

503323 FirstEnergy Capital LLP Authorised N FSA002

503401 PGR Capital LLP Authorised N FSA001

503401 PGR Capital LLP Authorised N FSA002

503459 StormHarbour Securities LLP Authorised N FSA001

503459 StormHarbour Securities LLP Authorised N FSA002

503664 Forseti Capital LLP Authorised N FSA001

503664 Forseti Capital LLP Authorised N FSA002

503693 Armstrong Investment Managers LLP Authorised N FSA001

503693 Armstrong Investment Managers LLP Authorised N FSA002

503723 Aksia Europe Ltd Authorised N FSA001

503723 Aksia Europe Ltd Authorised N FSA002

503730 Hayfin Capital Management LLP Authorised N FSA001

503730 Hayfin Capital Management LLP Authorised N FSA002

503871 The Fuel Trading Company Ltd Authorised N FSA001

503871 The Fuel Trading Company Ltd Authorised N FSA002

504060 RMG Wealth Management Limited Liability Partnership Authorised N FSA001

504060 RMG Wealth Management Limited Liability Partnership Authorised N FSA002

504126 LMR Partners LLP Authorised N FSA001

504126 LMR Partners LLP Authorised N FSA002

504209 Gladwyne Investments LLP Authorised N FSA001

504209 Gladwyne Investments LLP Authorised N FSA002

504211 Hume Capital Securities plc Authorised N FSA001

504211 Hume Capital Securities plc Authorised N FSA002

504272 MB Capital Limited Authorised N FSA001

504272 MB Capital Limited Authorised N FSA002

504390 Caxton Europe LLP Authorised N FSA001

504390 Caxton Europe LLP Authorised N FSA002

504790 Skillcapital Associates LLP Authorised N FSA001

504790 Skillcapital Associates LLP Authorised N FSA002

504863 Old Park Capital Limited Authorised N FSA001

504863 Old Park Capital Limited Authorised N FSA002

504864 BRAVE Partners LLP Authorised N FSA001

504864 BRAVE Partners LLP Authorised N FSA002

504902 Theleme Partners LLP Authorised N FSA001

504902 Theleme Partners LLP Authorised N FSA002

505042 Osmosis Investment Management LLP Authorised N FSA001

505042 Osmosis Investment Management LLP Authorised N FSA002

Page 64: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

505190 Frogmore Real Estate Partners Fund Managers Ltd Authorised N FSA001

505190 Frogmore Real Estate Partners Fund Managers Ltd Authorised N FSA002

505249 Arkley Capital Ltd Authorised N FSA001

505249 Arkley Capital Ltd Authorised N FSA002

505252 Capricorn Fund Managers Limited Authorised N FSA001

505252 Capricorn Fund Managers Limited Authorised N FSA002

505298 TVG Ltd Authorised N FSA001

505298 TVG Ltd Authorised N FSA002

505310 Lek Securities UK Limited Authorised N FSA001

505310 Lek Securities UK Limited Authorised N FSA002

505681 Evanridge Corporate Management LLP Authorised N FSA001

505681 Evanridge Corporate Management LLP Authorised N FSA002

505922 MSD Partners Europe LLP Authorised N FSA001

505922 MSD Partners Europe LLP Authorised N FSA002

505942 Dyson Capital Management Ltd Authorised N FSA001

505942 Dyson Capital Management Ltd Authorised N FSA002

506294 Macrosynergy Partners LLP Authorised N FSA001

506294 Macrosynergy Partners LLP Authorised N FSA002

506421 Suisse Credit Capital (2009) Limited Authorised N FSA001

506421 Suisse Credit Capital (2009) Limited Authorised N FSA002

506441 Arcus European Infrastructure Fund GP LLP Authorised N FSA001

506441 Arcus European Infrastructure Fund GP LLP Authorised N FSA002

506600 European Investment Management Ltd Authorised N FSA001

506600 European Investment Management Ltd Authorised N FSA002

506646 Asperatus Capital LLP Authorised N FSA001

506646 Asperatus Capital LLP Authorised N FSA002

506719 FW Capital Limited Authorised N FSA001

506719 FW Capital Limited Authorised N FSA002

506790 Optimus Capital LLP Authorised N FSA001

506790 Optimus Capital LLP Authorised N FSA002

506925 Northlight Group LLP Authorised N FSA001

506925 Northlight Group LLP Authorised N FSA002

507219 OTC Europe LLP Authorised N FSA001

507219 OTC Europe LLP Authorised N FSA002

507460 Amersham Investment Management Ltd Authorised N FSA001

507460 Amersham Investment Management Ltd Authorised N FSA002

507475 Brookfield Private Advisors LP Authorised N FSA001

507475 Brookfield Private Advisors LP Authorised N FSA002

507537 Finex LLP Authorised N FSA001

507537 Finex LLP Authorised N FSA002

507542 China International Capital Corporation (UK) Limited Authorised N FSA001

507542 China International Capital Corporation (UK) Limited Authorised N FSA002

507603 Hemera Capital Management LLP Authorised N FSA001

507603 Hemera Capital Management LLP Authorised N FSA002

507685 Metropolis Capital Limited Authorised N FSA001

507685 Metropolis Capital Limited Authorised N FSA002

507900 LD Capital Ltd Authorised N FSA001

507900 LD Capital Ltd Authorised N FSA002

507901 MET Asset Management UK LLP Authorised N FSA001

507901 MET Asset Management UK LLP Authorised N FSA002

507908 Caisson Investment Management Partners LLP Authorised N FSA001

507908 Caisson Investment Management Partners LLP Authorised N FSA002

507938 Ivaldi Capital LLP Authorised N FSA001

507938 Ivaldi Capital LLP Authorised N FSA002

507955 Tower Broking Limited Authorised N FSA001

507955 Tower Broking Limited Authorised N FSA002

507962 Greencoat Capital LLP Authorised N FSA001

507962 Greencoat Capital LLP Authorised N FSA002

Page 65: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

507997 Leste Capital Management (UK) LLP Authorised N FSA001

507997 Leste Capital Management (UK) LLP Authorised N FSA002

509551 Capital Markets Trading UK LLP Authorised N FSA001

509551 Capital Markets Trading UK LLP Authorised N FSA002

509746 AxiCorp Limited Authorised N FSA001

509746 AxiCorp Limited Authorised N FSA002

509772 Goldcin Partners LLP Authorised N FSA001

509772 Goldcin Partners LLP Authorised N FSA002

509778 LMAX Limited Authorised N FSA001

509778 LMAX Limited Authorised N FSA002

509909 Plus500UK Ltd Authorised N FSA001

509909 Plus500UK Ltd Authorised N FSA002

509930 Dalmore Capital Limited Authorised N FSA001

509930 Dalmore Capital Limited Authorised N FSA002

509956 FXPRO UK Limited Authorised N FSA001

509956 FXPRO UK Limited Authorised N FSA002

510041 Thistledown Investment Management Ltd Authorised N FSA001

510041 Thistledown Investment Management Ltd Authorised N FSA002

510054 Succession Advisory Services Limited Authorised N FSA001

510054 Succession Advisory Services Limited Authorised N FSA002

510065 Financial Themes LLP Authorised N FSA001

510065 Financial Themes LLP Authorised N FSA002

510079 Eschler Asset Management LLP Authorised N FSA001

510079 Eschler Asset Management LLP Authorised N FSA002

510080 Perspective Capital Management Limited Authorised N FSA001

510080 Perspective Capital Management Limited Authorised N FSA002

510105 MET Zurich LLP Authorised N FSA001

510105 MET Zurich LLP Authorised N FSA002

510151 Venn Partners LLP Authorised N FSA001

510151 Venn Partners LLP Authorised N FSA002

510494 LK Advisers Limited Authorised N FSA001

510494 LK Advisers Limited Authorised N FSA002

511220 Simply Ethical Financial Services Ltd Authorised N FSA001

511220 Simply Ethical Financial Services Ltd Authorised N FSA002

511268 3i BIFM Investments Limited Authorised N FSA001

511268 3i BIFM Investments Limited Authorised N FSA002

511314 Hermes GPE LLP Authorised N FSA001

511314 Hermes GPE LLP Authorised N FSA002

511342 Ferox Capital LLP Authorised N FSA001

511342 Ferox Capital LLP Authorised N FSA002

511520 H2O Markets Limited Authorised N FSA001

511520 H2O Markets Limited Authorised N FSA002

511838 HighBreed Capital Limited Authorised N FSA001

511838 HighBreed Capital Limited Authorised N FSA002

512586 Medea Capital Partners Ltd Authorised N FSA001

512586 Medea Capital Partners Ltd Authorised N FSA002

512645 Sealark LLP Authorised N FSA001

512645 Sealark LLP Authorised N FSA002

513138 Signia Wealth Limited Authorised N FSA001

513138 Signia Wealth Limited Authorised N FSA002

513156 Castellain Capital LLP Authorised N FSA001

513156 Castellain Capital LLP Authorised N FSA002

513246 James Hambro & Partners LLP Authorised N FSA001

513246 James Hambro & Partners LLP Authorised N FSA002

513358 Darwin Strategic Limited Authorised N FSA001

513358 Darwin Strategic Limited Authorised N FSA002

513713 FQS Capital Partners LLP Authorised N FSA001

513713 FQS Capital Partners LLP Authorised N FSA002

Page 66: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

514242 British Independent Utilities Authorised N FSA001

514242 British Independent Utilities Authorised N FSA002

514466 Whitman Howard Limited Authorised N FSA001

514466 Whitman Howard Limited Authorised N FSA002

514518 SCIO Capital LLP Authorised N FSA001

514518 SCIO Capital LLP Authorised N FSA002

514529 Tudor, Pickering, Holt & Co. International, LLP Authorised N FSA001

514529 Tudor, Pickering, Holt & Co. International, LLP Authorised N FSA002

514546 CBH Europe Limited Authorised N FSA001

514546 CBH Europe Limited Authorised N FSA002

514588 Octave Investment Management LLP Authorised N FSA001

514588 Octave Investment Management LLP Authorised N FSA002

514598 Calamos Investments LLP Authorised N FSA001

514598 Calamos Investments LLP Authorised N FSA002

514644 Revcap Advisors Ltd Authorised N FSA001

514644 Revcap Advisors Ltd Authorised N FSA002

514673 Lloyd Baughan LLP Authorised N FSA001

514673 Lloyd Baughan LLP Authorised N FSA002

514886 Adams Street Partners UK LLP Authorised N FSA001

514886 Adams Street Partners UK LLP Authorised N FSA002

514961 Benchmark Standard Ltd Authorised N FSA001

514961 Benchmark Standard Ltd Authorised N FSA002

514988 Guinness Capital Management Limited Authorised N FSA001

514988 Guinness Capital Management Limited Authorised N FSA002

515045 Rockfire Capital Limited Authorised N FSA001

515045 Rockfire Capital Limited Authorised N FSA002

515091 Aegis Asset Management Limited Authorised N FSA001

515091 Aegis Asset Management Limited Authorised N FSA002

515156 IIFL Wealth (UK) Limited Authorised N FSA001

515156 IIFL Wealth (UK) Limited Authorised N FSA002

515302 OMAM International Ltd Authorised N FSA001

515302 OMAM International Ltd Authorised N FSA002

515304 BlueCrest Capital Management (UK) LLP Authorised N FSA001

515304 BlueCrest Capital Management (UK) LLP Authorised N FSA002

515334 Friends Life Investment Solutions Limited Authorised N FSA001

515334 Friends Life Investment Solutions Limited Authorised N FSA002

515393 Lombard Odier Asset Management (Europe) Limited Authorised N FSA001

515393 Lombard Odier Asset Management (Europe) Limited Authorised N FSA002

515395 Agenda Capital Partners LLP Authorised N FSA001

515395 Agenda Capital Partners LLP Authorised N FSA002

515599 Prospect Capital Ltd Authorised N FSA001

515599 Prospect Capital Ltd Authorised N FSA002

515691 Utility Capital UK LLP Authorised N FSA001

515691 Utility Capital UK LLP Authorised N FSA002

515793 Tamsel (UK) Limited Authorised N FSA001

515793 Tamsel (UK) Limited Authorised N FSA002

516039 Kenz Capital LLP Authorised N FSA001

516039 Kenz Capital LLP Authorised N FSA002

516144 Elephant Capital LLP Authorised N FSA001

516144 Elephant Capital LLP Authorised N FSA002

516153 Sequoia Investment Management Company Limited Authorised N FSA001

516153 Sequoia Investment Management Company Limited Authorised N FSA002

516459 Logic Investments Ltd Authorised N FSA001

516459 Logic Investments Ltd Authorised N FSA002

516479 Tata Capital Plc Authorised N FSA001

516479 Tata Capital Plc Authorised N FSA002

516932 S. P. Angel Corporate Finance LLP Authorised N FSA001

516932 S. P. Angel Corporate Finance LLP Authorised N FSA002

Page 67: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

517235 Whitefoord LLP Authorised N FSA001

517235 Whitefoord LLP Authorised N FSA002

517378 Ethicalfin Limited Authorised N FSA001

517378 Ethicalfin Limited Authorised N FSA002

517522 La Francaise Forum Securities (UK) Limited Authorised N FSA001

517522 La Francaise Forum Securities (UK) Limited Authorised N FSA002

517596 BlueQuant Capital Management LLP Authorised N FSA001

517596 BlueQuant Capital Management LLP Authorised N FSA002

517799 Altiq LLP Authorised N FSA001

517799 Altiq LLP Authorised N FSA002

517987 PVE Capital LLP Authorised N FSA001

517987 PVE Capital LLP Authorised N FSA002

518214 Warwick Capital Partners LLP Authorised N FSA001

518214 Warwick Capital Partners LLP Authorised N FSA002

518280 AJ Bell Investments LLP Authorised N FSA001

518280 AJ Bell Investments LLP Authorised N FSA002

518455 AEW Europe LLP Authorised N FSA001

518455 AEW Europe LLP Authorised N FSA002

518552 Liontrust Investment Partners LLP Authorised N FSA001

518552 Liontrust Investment Partners LLP Authorised N FSA002

518554 Artisan Partners UK LLP Authorised N FSA001

518554 Artisan Partners UK LLP Authorised N FSA002

519070 Ryse Asset Management LLP Authorised N FSA001

519070 Ryse Asset Management LLP Authorised N FSA002

519233 FM Capital Partners Ltd Authorised N FSA001

519233 FM Capital Partners Ltd Authorised N FSA002

519772 Midmar Capital LLP Authorised N FSA001

519772 Midmar Capital LLP Authorised N FSA002

520083 LTS Capital LLP Authorised N FSA001

520083 LTS Capital LLP Authorised N FSA002

520117 Halkin Asset Management Limited Authorised N FSA001

520117 Halkin Asset Management Limited Authorised N FSA002

520240 Pantheon Ventures (UK) LLP Authorised N FSA001

520240 Pantheon Ventures (UK) LLP Authorised N FSA002

520444 Ardevora Asset Management LLP Authorised N FSA001

520444 Ardevora Asset Management LLP Authorised N FSA002

520556 Lawrence Clarke Investment Management LLP Authorised N FSA001

520556 Lawrence Clarke Investment Management LLP Authorised N FSA002

520720 Paris Capital Advisors (London) LLP Authorised N FSA001

520720 Paris Capital Advisors (London) LLP Authorised N FSA002

520737 Danix LLP Authorised N FSA001

520737 Danix LLP Authorised N FSA002

520929 AC Global Markets Limited Authorised N FSA001

520929 AC Global Markets Limited Authorised N FSA002

520965 ICM Capital Limited Authorised N FSA001

520965 ICM Capital Limited Authorised N FSA002

521019 Vela Investment Partners LLP Authorised N FSA001

521019 Vela Investment Partners LLP Authorised N FSA002

521314 Duke Street LLP Authorised N FSA001

521314 Duke Street LLP Authorised N FSA002

521446 Spectra FX Solutions LLP Authorised N FSA001

521446 Spectra FX Solutions LLP Authorised N FSA002

521525 Grovepoint Capital LLP Authorised N FSA001

521525 Grovepoint Capital LLP Authorised N FSA002

521567 Castle Hill Asset Management LLP Authorised N FSA001

521567 Castle Hill Asset Management LLP Authorised N FSA002

521801 St Brides Managers LLP Authorised N FSA001

521801 St Brides Managers LLP Authorised N FSA002

Page 68: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

522101 Montgomery Investment Management LLP Authorised N FSA001

522101 Montgomery Investment Management LLP Authorised N FSA002

522157 XTB Limited Authorised N FSA001

522157 XTB Limited Authorised N FSA002

522413 Truestone Impact Investment Management Limited Authorised N FSA001

522413 Truestone Impact Investment Management Limited Authorised N FSA002

522477 Halkin Investments LLP Authorised N FSA001

522477 Halkin Investments LLP Authorised N FSA002

522491 Salamanca Capital Partners LLP Authorised N FSA001

522491 Salamanca Capital Partners LLP Authorised N FSA002

522509 Nikolaus & Co LLP Authorised N FSA001

522509 Nikolaus & Co LLP Authorised N FSA002

522649 Orion Wealth LLP Authorised N FSA001

522649 Orion Wealth LLP Authorised N FSA002

523080 Banor Capital Limited Authorised N FSA001

523080 Banor Capital Limited Authorised N FSA002

523102 Fundsmith LLP Authorised N FSA001

523102 Fundsmith LLP Authorised N FSA002

523180 Artemis Investment Management LLP Authorised N FSA001

523180 Artemis Investment Management LLP Authorised N FSA002

523422 The Share Republic.com Limited Authorised N FSA001

523422 The Share Republic.com Limited Authorised N FSA002

524374 Rhino Investment Management LLP Authorised N FSA001

524374 Rhino Investment Management LLP Authorised N FSA002

524468 Polygon Global Partners LLP Authorised N FSA001

524468 Polygon Global Partners LLP Authorised N FSA002

524535 Independent Advice Limited Authorised N FSA001

524535 Independent Advice Limited Authorised N FSA002

524544 North Square Blue Oak Limited Authorised N FSA001

524544 North Square Blue Oak Limited Authorised N FSA002

525113 Ikon Finance Limited Authorised N FSA001

525113 Ikon Finance Limited Authorised N FSA002

525164 FINSA Europe Ltd Authorised N FSA001

525164 FINSA Europe Ltd Authorised N FSA002

525784 Hanson Asset Management Limited Authorised N FSA001

525784 Hanson Asset Management Limited Authorised N FSA002

525956 Turquoise Global Holdings Ltd Authorised N FSA001

525956 Turquoise Global Holdings Ltd Authorised N FSA002

526034 AFEX Markets Plc Authorised N FSA001

526034 AFEX Markets Plc Authorised N FSA002

526161 Markham Rae LLP Authorised N FSA001

526161 Markham Rae LLP Authorised N FSA002

526172 Resolute Asset Management LLP Authorised N FSA001

526172 Resolute Asset Management LLP Authorised N FSA002

526527 Silchester International Investors LLP Authorised N FSA001

526527 Silchester International Investors LLP Authorised N FSA002

526528 Multrees Investor Services Limited Authorised N FSA001

526528 Multrees Investor Services Limited Authorised N FSA002

526549 Global Reach Markets Limited Authorised N FSA001

526549 Global Reach Markets Limited Authorised N FSA002

526604 Beacon Wealth Management Limited Authorised N FSA001

526604 Beacon Wealth Management Limited Authorised N FSA002

526908 Whitebox Advisors London, LLP Authorised N FSA001

526908 Whitebox Advisors London, LLP Authorised N FSA002

526965 The Seaport Group Europe LLP Authorised N FSA001

526965 The Seaport Group Europe LLP Authorised N FSA002

527135 Timberland Investment Resources Europe LLP Authorised N FSA001

527135 Timberland Investment Resources Europe LLP Authorised N FSA002

Page 69: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

527314 GP Bullhound LLP Authorised N FSA001

527314 GP Bullhound LLP Authorised N FSA002

527444 True Potential Investments LLP Authorised N FSA001

527444 True Potential Investments LLP Authorised N FSA002

527473 EdenTree Investment Management Limited Authorised N FSA001

527473 EdenTree Investment Management Limited Authorised N FSA002

527557 Absolute Return Investment Advisers (ARIA) Limited Authorised N FSA001

527557 Absolute Return Investment Advisers (ARIA) Limited Authorised N FSA002

527808 Steve Burke (Rochford) Limited Authorised N FSA001

527808 Steve Burke (Rochford) Limited Authorised N FSA002

527839 Vanguard Asset Management, Ltd Authorised N FSA001

527839 Vanguard Asset Management, Ltd Authorised N FSA002

528148 Pactum Asset Management Limited Authorised N FSA001

528148 Pactum Asset Management Limited Authorised N FSA002

528210 DualEdge Capital Management LLP Authorised N FSA001

528210 DualEdge Capital Management LLP Authorised N FSA002

528328 Divisa UK Limited Authorised N FSA001

528328 Divisa UK Limited Authorised N FSA002

528428 Roodhals Capital Ltd Authorised N FSA001

528428 Roodhals Capital Ltd Authorised N FSA002

528685 Kite Lake Capital Management (UK) LLP Authorised N FSA001

528685 Kite Lake Capital Management (UK) LLP Authorised N FSA002

528720 Cambridge Capital Management UK LLP Authorised N FSA001

528720 Cambridge Capital Management UK LLP Authorised N FSA002

528747 Tyser Capital Management LLP Authorised N FSA001

528747 Tyser Capital Management LLP Authorised N FSA002

529037 York Capital Management Europe (UK) Advisors, LLP Authorised N FSA001

529037 York Capital Management Europe (UK) Advisors, LLP Authorised N FSA002

529096 Audentis Partners Limited Authorised N FSA001

529096 Audentis Partners Limited Authorised N FSA002

529105 H2O AM LLP Authorised N FSA001

529105 H2O AM LLP Authorised N FSA002

529416 Holbein Partners LLP Authorised N FSA001

529416 Holbein Partners LLP Authorised N FSA002

529799 Collabrium Investment Advisors LLP Authorised N FSA001

529799 Collabrium Investment Advisors LLP Authorised N FSA002

529939 Theorema Advisors UK LLP Authorised N FSA001

529939 Theorema Advisors UK LLP Authorised N FSA002

530002 Farm Street Partners Investment Management LLP Authorised N FSA001

530002 Farm Street Partners Investment Management LLP Authorised N FSA002

530083 Peel Hunt LLP Authorised N FSA001

530083 Peel Hunt LLP Authorised N FSA002

530523 Anavon Capital LLP Authorised N FSA001

530523 Anavon Capital LLP Authorised N FSA002

530676 Red Sky Capital Solutions LLP Authorised N FSA001

530676 Red Sky Capital Solutions LLP Authorised N FSA002

530799 Pine River Capital Partners (UK) LLP Authorised N FSA001

530799 Pine River Capital Partners (UK) LLP Authorised N FSA002

531016 CELF Advisors LLP Authorised N FSA001

531016 CELF Advisors LLP Authorised N FSA002

531136 Alpha UCITS Ltd Authorised N FSA001

531136 Alpha UCITS Ltd Authorised N FSA002

531505 Goldenberg Hehmeyer LLP Authorised N FSA001

531505 Goldenberg Hehmeyer LLP Authorised N FSA002

531644 YFM Private Finance Limited Authorised N FSA001

531644 YFM Private Finance Limited Authorised N FSA002

531771 Volopa Capital Limited Authorised N FSA001

531771 Volopa Capital Limited Authorised N FSA002

Page 70: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

532121 Halcyon Loan Advisors (UK) LLP Authorised N FSA001

532121 Halcyon Loan Advisors (UK) LLP Authorised N FSA002

532447 Eme Capital LLP Authorised N FSA001

532447 Eme Capital LLP Authorised N FSA002

532912 Altana Wealth Limited Authorised N FSA001

532912 Altana Wealth Limited Authorised N FSA002

533039 Global Prime Partners Limited Authorised N FSA001

533039 Global Prime Partners Limited Authorised N FSA002

533267 Huckleberry Investments LLP Authorised N FSA001

533267 Huckleberry Investments LLP Authorised N FSA002

533291 Brookfield Investment Management (UK) Limited Authorised N FSA001

533291 Brookfield Investment Management (UK) Limited Authorised N FSA002

533351 Orion Capital Managers LLP Authorised N FSA001

533351 Orion Capital Managers LLP Authorised N FSA002

533554 Highclere International Investors LLP Authorised N FSA001

533554 Highclere International Investors LLP Authorised N FSA002

533841 M3 Capital Partners (UK) LLP Authorised N FSA001

533841 M3 Capital Partners (UK) LLP Authorised N FSA002

533849 Kola Capital LLP Authorised N FSA001

533849 Kola Capital LLP Authorised N FSA002

534020 Murphy Richards Capital LLP Authorised N FSA001

534020 Murphy Richards Capital LLP Authorised N FSA002

534027 Delta Financial Markets Limited Authorised N FSA001

534027 Delta Financial Markets Limited Authorised N FSA002

534035 Envirocapital Funds LLP Authorised N FSA001

534035 Envirocapital Funds LLP Authorised N FSA002

534306 Auriel Equity Investors LLP Authorised N FSA001

534306 Auriel Equity Investors LLP Authorised N FSA002

534461 GCM Investments UK LLP Authorised N FSA001

534461 GCM Investments UK LLP Authorised N FSA002

534484 London & Eastern LLP Authorised N FSA001

534484 London & Eastern LLP Authorised N FSA002

534658 LCM Capital LLP Authorised N FSA001

534658 LCM Capital LLP Authorised N FSA002

534723 Alpha Real Property Investment Advisers LLP Authorised N FSA001

534723 Alpha Real Property Investment Advisers LLP Authorised N FSA002

534844 Atlantis Capital Management Limited Authorised N FSA001

534844 Atlantis Capital Management Limited Authorised N FSA002

535445 Ancala Partners LLP Authorised N FSA001

535445 Ancala Partners LLP Authorised N FSA002

535871 Craigmore Sustainables LLP Authorised N FSA001

535871 Craigmore Sustainables LLP Authorised N FSA002

535944 Governor Finance Limited Authorised N FSA001

535944 Governor Finance Limited Authorised N FSA002

536551 Reclaim Fund Ltd Authorised N FSA001

536551 Reclaim Fund Ltd Authorised N FSA002

536771 EFG Asset Management (UK) Limited Authorised N FSA001

536771 EFG Asset Management (UK) Limited Authorised N FSA002

536817 JCI Capital Limited Authorised N FSA001

536817 JCI Capital Limited Authorised N FSA002

536841 Gabelli Securities International UK Ltd Authorised N FSA001

536841 Gabelli Securities International UK Ltd Authorised N FSA002

536853 Grove Capital Management Ltd Authorised N FSA001

536853 Grove Capital Management Ltd Authorised N FSA002

536892 MKP Capital Europe LLP Authorised N FSA001

536892 MKP Capital Europe LLP Authorised N FSA002

536987 Elevation Trading Limited Authorised N FSA001

536987 Elevation Trading Limited Authorised N FSA002

Page 71: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

537039 Solaise Capital Management LLP Authorised N FSA001

537039 Solaise Capital Management LLP Authorised N FSA002

537064 Taom Capital (UK) Limited Authorised N FSA001

537064 Taom Capital (UK) Limited Authorised N FSA002

537080 HYWIN WEALTH LLP Authorised N FSA001

537080 HYWIN WEALTH LLP Authorised N FSA002

537087 Fideres Partners LLP Authorised N FSA001

537087 Fideres Partners LLP Authorised N FSA002

537103 Future Value Capital LLP Authorised N FSA001

537103 Future Value Capital LLP Authorised N FSA002

537165 Laidlaw & Company International Limited Authorised N FSA001

537165 Laidlaw & Company International Limited Authorised N FSA002

537282 Alken Finance LLP Authorised N FSA001

537282 Alken Finance LLP Authorised N FSA002

537301 Skybound Capital UK Limited Authorised N FSA001

537301 Skybound Capital UK Limited Authorised N FSA002

537366 Nomura Alternative Investment Management (Europe) Limited Authorised N FSA001

537366 Nomura Alternative Investment Management (Europe) Limited Authorised N FSA002

537389 Linear Investments Limited Authorised N FSA001

537389 Linear Investments Limited Authorised N FSA002

537582 EGR Broking Limited Authorised N FSA001

537582 EGR Broking Limited Authorised N FSA002

537787 FX Stat Ltd Authorised N FSA001

537787 FX Stat Ltd Authorised N FSA002

537832 R&H FUND SERVICES (UK) LIMITED Authorised N FSA001

537832 R&H FUND SERVICES (UK) LIMITED Authorised N FSA002

537953 HDP Trading Limited Authorised N FSA001

537953 HDP Trading Limited Authorised N FSA002

538228 Ovington Capital Management LLP Authorised N FSA001

538228 Ovington Capital Management LLP Authorised N FSA002

538254 J. Safra Sarasin Asset Management (Europe) Ltd Authorised N FSA001

538254 J. Safra Sarasin Asset Management (Europe) Ltd Authorised N FSA002

538575 Bivouac Capital LLP Authorised N FSA001

538575 Bivouac Capital LLP Authorised N FSA002

538762 Shard Capital Partners LLP Authorised N FSA001

538762 Shard Capital Partners LLP Authorised N FSA002

538896 Societe Generale International Limited Authorised N FSA001

538896 Societe Generale International Limited Authorised N FSA002

538927 TFC Investment Management LLP Authorised N FSA001

538927 TFC Investment Management LLP Authorised N FSA002

539399 Milliman Financial Strategies Limited Authorised N FSA001

539399 Milliman Financial Strategies Limited Authorised N FSA002

539422 EQ Investors Limited Authorised N FSA001

539422 EQ Investors Limited Authorised N FSA002

539429 Allegra Asset Management (UK) Limited Authorised N FSA001

539429 Allegra Asset Management (UK) Limited Authorised N FSA002

539518 LXM Finance LLP Authorised N FSA001

539518 LXM Finance LLP Authorised N FSA002

539846 Boston Prime Limited Authorised N FSA001

539846 Boston Prime Limited Authorised N FSA002

539851 S&P Global Research Europe Limited Authorised N FSA001

539851 S&P Global Research Europe Limited Authorised N FSA002

540244 Hirose Financial UK Limited Authorised N FSA001

540244 Hirose Financial UK Limited Authorised N FSA002

540418 Valbury Capital Limited Authorised N FSA001

540418 Valbury Capital Limited Authorised N FSA002

540470 Kiltearn Partners LLP Authorised N FSA001

540470 Kiltearn Partners LLP Authorised N FSA002

Page 72: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

540892 Harris Williams & Co. Ltd Authorised N FSA001

540892 Harris Williams & Co. Ltd Authorised N FSA002

540893 Tendercapital Limited Authorised N FSA001

540893 Tendercapital Limited Authorised N FSA002

540897 BH-DG Systematic Trading LLP Authorised N FSA001

540897 BH-DG Systematic Trading LLP Authorised N FSA002

541293 ABG Sundal Collier Partners LLP Authorised N FSA001

541293 ABG Sundal Collier Partners LLP Authorised N FSA002

541341 Panthera Private Office LLP Authorised N FSA001

541341 Panthera Private Office LLP Authorised N FSA002

541375 Baltic Exchange Derivatives Trading Ltd Authorised N FSA001

541375 Baltic Exchange Derivatives Trading Ltd Authorised N FSA002

541404 Fusion Wealth Limited Authorised N FSA001

541404 Fusion Wealth Limited Authorised N FSA002

541427 Napier Park Global Capital Ltd Authorised N FSA001

541427 Napier Park Global Capital Ltd Authorised N FSA002

541623 Xenfin Capital Limited Authorised N FSA001

541623 Xenfin Capital Limited Authorised N FSA002

541893 Castle Trust Capital Management Limited Authorised N FSA001

541893 Castle Trust Capital Management Limited Authorised N FSA002

541910 Castle Trust Capital PLC Authorised N FSA001

541910 Castle Trust Capital PLC Authorised N FSA002

542059 Platform One Limited Authorised N FSA001

542059 Platform One Limited Authorised N FSA002

542109 Avitah Capital LLP Authorised N FSA001

542109 Avitah Capital LLP Authorised N FSA002

542574 OANDA Europe Limited Authorised N FSA001

542574 OANDA Europe Limited Authorised N FSA002

542854 RCMA Capital LLP Authorised N FSA001

542854 RCMA Capital LLP Authorised N FSA002

543041 Augmentum Capital LLP Authorised N FSA001

543041 Augmentum Capital LLP Authorised N FSA002

543123 AEGON Investment Solutions Limited Authorised N FSA001

543123 AEGON Investment Solutions Limited Authorised N FSA002

543239 Sea Port Group Securities (Europe) LLP Authorised N FSA001

543239 Sea Port Group Securities (Europe) LLP Authorised N FSA002

543459 Beaufort Investment Management Ltd Authorised N FSA001

543459 Beaufort Investment Management Ltd Authorised N FSA002

543475 Brookland Partners LLP Authorised N FSA001

543475 Brookland Partners LLP Authorised N FSA002

543477 Boston and Alexander LLP Authorised N FSA001

543477 Boston and Alexander LLP Authorised N FSA002

543560 CVC Credit Partners Investment Management Limited Authorised N FSA001

543560 CVC Credit Partners Investment Management Limited Authorised N FSA002

544237 SECOR Investment Advisors (UK) LLP Authorised N FSA001

544237 SECOR Investment Advisors (UK) LLP Authorised N FSA002

544525 Centerbridge Partners Europe LLP Authorised N FSA001

544525 Centerbridge Partners Europe LLP Authorised N FSA002

544543 Scipion Capital (UK) Limited Authorised N FSA001

544543 Scipion Capital (UK) Limited Authorised N FSA002

544874 iSwap Euro Limited Authorised N FSA001

544874 iSwap Euro Limited Authorised N FSA002

545025 Downing LLP Authorised N FSA001

545025 Downing LLP Authorised N FSA002

546061 Edale Capital LLP Authorised N FSA001

546061 Edale Capital LLP Authorised N FSA002

546188 RESI CAPITAL MANAGEMENT LIMITED Authorised N FSA001

546188 RESI CAPITAL MANAGEMENT LIMITED Authorised N FSA002

Page 73: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

546234 Hay Tor Capital LLP Authorised N FSA001

546234 Hay Tor Capital LLP Authorised N FSA002

547822 Glider Trading LLP Authorised N FSA001

547822 Glider Trading LLP Authorised N FSA002

547974 Metric Capital Partners LLP Authorised N FSA001

547974 Metric Capital Partners LLP Authorised N FSA002

548041 Lucid Issuer Services Ltd Authorised N FSA001

548041 Lucid Issuer Services Ltd Authorised N FSA002

548069 CC Arb Global Limited Authorised N FSA001

548069 CC Arb Global Limited Authorised N FSA002

549789 Astellon Capital Partners LLP Authorised N FSA001

549789 Astellon Capital Partners LLP Authorised N FSA002

549841 Negentropy Capital Partners LLP Authorised N FSA001

549841 Negentropy Capital Partners LLP Authorised N FSA002

549945 Topor & Co. Limited Authorised N FSA001

549945 Topor & Co. Limited Authorised N FSA002

549980 Epoch Wealth Management LLP Authorised N FSA001

549980 Epoch Wealth Management LLP Authorised N FSA002

550103 Sapia Partners LLP Authorised N FSA001

550103 Sapia Partners LLP Authorised N FSA002

550118 Woodbridge Capital Management LLP Authorised N FSA001

550118 Woodbridge Capital Management LLP Authorised N FSA002

550126 CDC Wealth Management Limited Authorised N FSA001

550126 CDC Wealth Management Limited Authorised N FSA002

550227 Tcam Asset Management Limited Authorised N FSA001

550227 Tcam Asset Management Limited Authorised N FSA002

550784 FinEx Capital Management LLP Authorised N FSA001

550784 FinEx Capital Management LLP Authorised N FSA002

550908 Oaktree Capital Management (UK) LLP Authorised N FSA001

550908 Oaktree Capital Management (UK) LLP Authorised N FSA002

551020 Fasanara Capital Limited Authorised N FSA001

551020 Fasanara Capital Limited Authorised N FSA002

551027 Picton Capital Limited Authorised N FSA001

551027 Picton Capital Limited Authorised N FSA002

551092 Kingsley Asset Management (Global) LLP Authorised N FSA001

551092 Kingsley Asset Management (Global) LLP Authorised N FSA002

551170 Mariana UFP LLP Authorised N FSA001

551170 Mariana UFP LLP Authorised N FSA002

551422 Saxo Capital Markets UK Limited Authorised N FSA001

551422 Saxo Capital Markets UK Limited Authorised N FSA002

551720 Davide Leone and Partners Investment Company LLP Authorised N FSA001

551720 Davide Leone and Partners Investment Company LLP Authorised N FSA002

551769 Blackheath Capital Management LLP Authorised N FSA001

551769 Blackheath Capital Management LLP Authorised N FSA002

551833 Carlson Capital UK LLP Authorised N FSA001

551833 Carlson Capital UK LLP Authorised N FSA002

552016 Nutmeg Saving and Investment Limited Authorised N FSA001

552016 Nutmeg Saving and Investment Limited Authorised N FSA002

552790 Pegasus Capital LLP Authorised N FSA001

552790 Pegasus Capital LLP Authorised N FSA002

552894 Dolfin Financial (UK) Ltd Authorised N FSA001

552894 Dolfin Financial (UK) Ltd Authorised N FSA002

552917 Tourmaline Europe LLP Authorised N FSA001

552917 Tourmaline Europe LLP Authorised N FSA002

552925 Anderson Strathern Asset Management Limited Authorised N FSA001

552925 Anderson Strathern Asset Management Limited Authorised N FSA002

552931 Barings Global Advisers Limited Authorised N FSA001

552931 Barings Global Advisers Limited Authorised N FSA002

Page 74: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

553288 Fincere Capital Management Limited Authorised N FSA001

553288 Fincere Capital Management Limited Authorised N FSA002

554051 Sturgeon Capital Ltd Authorised N FSA001

554051 Sturgeon Capital Ltd Authorised N FSA002

554065 Sequoia Capital Fund Management LLP Authorised N FSA001

554065 Sequoia Capital Fund Management LLP Authorised N FSA002

554407 Worldview Capital Management LLP Authorised N FSA001

554407 Worldview Capital Management LLP Authorised N FSA002

554408 Stone Drum Partners LLP Authorised N FSA001

554408 Stone Drum Partners LLP Authorised N FSA002

554493 Scala Capital Partners Limited Authorised N FSA001

554493 Scala Capital Partners Limited Authorised N FSA002

555367 Cherubim Ventures (UK) Limited Authorised N FSA001

555367 Cherubim Ventures (UK) Limited Authorised N FSA002

555414 Rowan Jacobs Limited Authorised N FSA001

555414 Rowan Jacobs Limited Authorised N FSA002

555437 Carrhae Capital LLP Authorised N FSA001

555437 Carrhae Capital LLP Authorised N FSA002

555599 Hengistbury Investment Partners LLP Authorised N FSA001

555599 Hengistbury Investment Partners LLP Authorised N FSA002

555785 Nektar Asset Management LLP Authorised N FSA001

555785 Nektar Asset Management LLP Authorised N FSA002

556012 CapeView Capital LLP Authorised N FSA001

556012 CapeView Capital LLP Authorised N FSA002

556229 EXPONENTIAL BROKER SOLUTIONS LIMITED Authorised N FSA001

556229 EXPONENTIAL BROKER SOLUTIONS LIMITED Authorised N FSA002

556371 DJWM Limited Authorised N FSA001

556371 DJWM Limited Authorised N FSA002

556647 Hollis Capital Limited Authorised N FSA001

556647 Hollis Capital Limited Authorised N FSA002

557354 Amber Financial Investments Limited Authorised N FSA001

557354 Amber Financial Investments Limited Authorised N FSA002

557959 4 Shires Asset Management Ltd Authorised N FSA001

557959 4 Shires Asset Management Ltd Authorised N FSA002

558076 Tiber Capital LLP Authorised N FSA001

558076 Tiber Capital LLP Authorised N FSA002

558158 NAU Securities Ltd Authorised N FSA001

558158 NAU Securities Ltd Authorised N FSA002

559443 Loomis Sayles Investments Limited Authorised N FSA001

559443 Loomis Sayles Investments Limited Authorised N FSA002

560849 Stone Milliner Asset Management LLP Authorised N FSA001

560849 Stone Milliner Asset Management LLP Authorised N FSA002

560872 AFX Markets Limited Authorised N FSA001

560872 AFX Markets Limited Authorised N FSA002

561973 Angelo, Gordon Europe LLP Authorised N FSA001

561973 Angelo, Gordon Europe LLP Authorised N FSA002

562156 Z Investment Partners LLP Authorised N FSA001

562156 Z Investment Partners LLP Authorised N FSA002

562170 Swissquote Ltd Authorised N FSA001

562170 Swissquote Ltd Authorised N FSA002

562209 RM Capital Markets Limited Authorised N FSA001

562209 RM Capital Markets Limited Authorised N FSA002

562563 Ingenious Capital Management Limited Authorised N FSA001

562563 Ingenious Capital Management Limited Authorised N FSA002

562785 Olympia Wealth Management Ltd Authorised N FSA001

562785 Olympia Wealth Management Ltd Authorised N FSA002

563156 OLIM Property Limited Authorised N FSA001

563156 OLIM Property Limited Authorised N FSA002

Page 75: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

563329 SteelRock Limited Authorised N FSA001

563329 SteelRock Limited Authorised N FSA002

563366 Deepbridge Capital LLP Authorised N FSA001

563366 Deepbridge Capital LLP Authorised N FSA002

563369 Tages Capital LLP Authorised N FSA001

563369 Tages Capital LLP Authorised N FSA002

563498 Smart Lenders Asset Management Limited Authorised N FSA001

563498 Smart Lenders Asset Management Limited Authorised N FSA002

563681 Saba Capital Management (UK) LLP Authorised N FSA001

563681 Saba Capital Management (UK) LLP Authorised N FSA002

563833 AgFe LLP Authorised N FSA001

563833 AgFe LLP Authorised N FSA002

563834 XFA Global Limited Authorised N FSA001

563834 XFA Global Limited Authorised N FSA002

563849 RBS Investment Executive Limited Authorised N FSA001

563849 RBS Investment Executive Limited Authorised N FSA002

563879 Attestor Capital LLP Authorised N FSA001

563879 Attestor Capital LLP Authorised N FSA002

563903 BOCI Global Commodities (UK) Limited Authorised N FSA001

563903 BOCI Global Commodities (UK) Limited Authorised N FSA002

563919 Neuron Advisers LLP Authorised N FSA001

563919 Neuron Advisers LLP Authorised N FSA002

564058 Graham Capital LLP Authorised N FSA001

564058 Graham Capital LLP Authorised N FSA002

564112 Altavista Investment Management UK LLP Authorised N FSA001

564112 Altavista Investment Management UK LLP Authorised N FSA002

564156 Squawker Ltd Authorised N FSA001

564156 Squawker Ltd Authorised N FSA002

564162 Portfoliometrix Asset Management Ltd Authorised N FSA001

564162 Portfoliometrix Asset Management Ltd Authorised N FSA002

564221 Daedalus Partners LLP Authorised N FSA001

564221 Daedalus Partners LLP Authorised N FSA002

564570 Ox Global Investments Ltd Authorised N FSA001

564570 Ox Global Investments Ltd Authorised N FSA002

564741 Tera Europe Limited Authorised N FSA001

564741 Tera Europe Limited Authorised N FSA002

564876 Plain English Finance Limited Authorised N FSA001

564876 Plain English Finance Limited Authorised N FSA002

564897 ERIM LLP Authorised N FSA001

564897 ERIM LLP Authorised N FSA002

564960 Cygnus Investment Management Limited Authorised N FSA001

564960 Cygnus Investment Management Limited Authorised N FSA002

564971 INTERNOS Global Investors Limited Authorised N FSA001

564971 INTERNOS Global Investors Limited Authorised N FSA002

565015 Falcon Edge Capital LLP Authorised N FSA001

565015 Falcon Edge Capital LLP Authorised N FSA002

565311 iFunds Asset Management Limited Authorised N FSA001

565311 iFunds Asset Management Limited Authorised N FSA002

565503 Voya Investment Management (UK) Limited Authorised N FSA001

565503 Voya Investment Management (UK) Limited Authorised N FSA002

565716 Sapphire Capital Partners LLP Authorised N FSA001

565716 Sapphire Capital Partners LLP Authorised N FSA002

566397 Digital World Capital LLP Authorised N FSA001

566397 Digital World Capital LLP Authorised N FSA002

566533 Solo Capital Partners LLP Authorised N FSA001

566533 Solo Capital Partners LLP Authorised N FSA002

566811 Robus Capital Management Limited Authorised N FSA001

566811 Robus Capital Management Limited Authorised N FSA002

Page 76: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

567173 OutSET Global LLP Authorised N FSA001

567173 OutSET Global LLP Authorised N FSA002

567273 Master FinCapital Limited Authorised N FSA001

567273 Master FinCapital Limited Authorised N FSA002

567411 AQR Capital Management (Europe) LLP Authorised N FSA001

567411 AQR Capital Management (Europe) LLP Authorised N FSA002

567795 Platina Energy Partners LLP Authorised N FSA001

567795 Platina Energy Partners LLP Authorised N FSA002

567865 Cryder Capital Partners LLP Authorised N FSA001

567865 Cryder Capital Partners LLP Authorised N FSA002

567888 LGIM International Limited Authorised N FSA001

567888 LGIM International Limited Authorised N FSA002

568089 Tavistock Wealth Limited Authorised N FSA001

568089 Tavistock Wealth Limited Authorised N FSA002

568323 Nplus1 Singer Advisory LLP Authorised N FSA001

568323 Nplus1 Singer Advisory LLP Authorised N FSA002

568328 Global Preservation Strategies Ltd Authorised N FSA001

568328 Global Preservation Strategies Ltd Authorised N FSA002

568940 Big Society Capital Limited Authorised N FSA001

568940 Big Society Capital Limited Authorised N FSA002

568966 Tyndaris LLP Authorised N FSA001

568966 Tyndaris LLP Authorised N FSA002

569000 European and Global Advisers LLP Authorised N FSA001

569000 European and Global Advisers LLP Authorised N FSA002

569070 Cesco Investments Ltd Authorised N FSA001

569070 Cesco Investments Ltd Authorised N FSA002

569877 RMCAS Ltd Authorised N FSA001

569877 RMCAS Ltd Authorised N FSA002

569888 Arnold Stansby & Co. Limited Authorised N FSA001

569888 Arnold Stansby & Co. Limited Authorised N FSA002

570656 Trad-X (UK) Limited Authorised N FSA001

570656 Trad-X (UK) Limited Authorised N FSA002

570673 Akkadia Partners LLP Authorised N FSA001

570673 Akkadia Partners LLP Authorised N FSA002

570942 Bolt Markets Limited Authorised N FSA001

570942 Bolt Markets Limited Authorised N FSA002

570944 Longview Partners LLP Authorised N FSA001

570944 Longview Partners LLP Authorised N FSA002

571578 Cedarknight Partners LLP Authorised N FSA001

571578 Cedarknight Partners LLP Authorised N FSA002

571590 MOYES Financial Planning Limited Authorised N FSA001

571590 MOYES Financial Planning Limited Authorised N FSA002

571599 BlueBay Asset Management LLP Authorised N FSA001

571599 BlueBay Asset Management LLP Authorised N FSA002

571881 GCM Prime Ltd Authorised N FSA001

571881 GCM Prime Ltd Authorised N FSA002

571924 Impact Investment Partners LLP Authorised N FSA001

571924 Impact Investment Partners LLP Authorised N FSA002

571943 Maitland Wealth Services Limited Authorised N FSA001

571943 Maitland Wealth Services Limited Authorised N FSA002

571973 Atlas Strategic Advisors LLP Authorised N FSA001

571973 Atlas Strategic Advisors LLP Authorised N FSA002

572039 Katmai Capital Advisors Ltd Authorised N FSA001

572039 Katmai Capital Advisors Ltd Authorised N FSA002

572096 Bentley Reid & Co (UK) Limited Authorised N FSA001

572096 Bentley Reid & Co (UK) Limited Authorised N FSA002

572148 SCR Investments Ltd Authorised N FSA001

572148 SCR Investments Ltd Authorised N FSA002

Page 77: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

572226 AltCap LLP Authorised N FSA001

572226 AltCap LLP Authorised N FSA002

572243 QIC European Investment Services Limited Authorised N FSA001

572243 QIC European Investment Services Limited Authorised N FSA002

572300 Rockpool Investments LLP Authorised N FSA001

572300 Rockpool Investments LLP Authorised N FSA002

572389 AlterNet (UK) Limited Authorised N FSA001

572389 AlterNet (UK) Limited Authorised N FSA002

572537 Global Systematic Investors LLP Authorised N FSA001

572537 Global Systematic Investors LLP Authorised N FSA002

572927 Carle & Co Limited Authorised N FSA001

572927 Carle & Co Limited Authorised N FSA002

573464 Tradenext Limited Authorised N FSA001

573464 Tradenext Limited Authorised N FSA002

574493 Whard Stewart (UK) LLP Authorised N FSA001

574493 Whard Stewart (UK) LLP Authorised N FSA002

574754 Universal Securities and Investments Ltd Authorised N FSA001

574754 Universal Securities and Investments Ltd Authorised N FSA002

574902 Mandara Energy Limited Authorised N FSA001

574902 Mandara Energy Limited Authorised N FSA002

575197 Alcova Asset Management LLP Authorised N FSA001

575197 Alcova Asset Management LLP Authorised N FSA002

575291 KKR Credit Advisors (UK) LLP Authorised N FSA001

575291 KKR Credit Advisors (UK) LLP Authorised N FSA002

575376 International Strategy & Investment (UK) Limited Authorised N FSA001

575376 International Strategy & Investment (UK) Limited Authorised N FSA002

575507 SFG Partners LLP Authorised N FSA001

575507 SFG Partners LLP Authorised N FSA002

575647 White Square Capital LLP Authorised N FSA001

575647 White Square Capital LLP Authorised N FSA002

575897 Tiberius Asset Management Ltd. Authorised N FSA001

575897 Tiberius Asset Management Ltd. Authorised N FSA002

576153 Mako Global Investors LLP Authorised N FSA001

576153 Mako Global Investors LLP Authorised N FSA002

577127 Atreaus Capital LLP Authorised N FSA001

577127 Atreaus Capital LLP Authorised N FSA002

577156 EQT Services (UK) Limited Authorised N FSA001

577156 EQT Services (UK) Limited Authorised N FSA002

577319 Elliott Advisors (London) LLC Authorised N FSA001

577319 Elliott Advisors (London) LLC Authorised N FSA002

577453 ADS SECURITIES LONDON LIMITED Authorised N FSA001

577453 ADS SECURITIES LONDON LIMITED Authorised N FSA002

577611 Equitrade Capital Limited Authorised N FSA001

577611 Equitrade Capital Limited Authorised N FSA002

577946 Canara Capital Partners LLP Authorised N FSA001

577946 Canara Capital Partners LLP Authorised N FSA002

577962 AEW UK Investment Management LLP Authorised N FSA001

577962 AEW UK Investment Management LLP Authorised N FSA002

577971 Poten Capital Services (UK) Ltd Authorised N FSA001

577971 Poten Capital Services (UK) Ltd Authorised N FSA002

578074 Edmond de Rothschild Asset Management (UK) Limited Authorised N FSA001

578074 Edmond de Rothschild Asset Management (UK) Limited Authorised N FSA002

578170 Cederberg Capital UK LLP Authorised N FSA001

578170 Cederberg Capital UK LLP Authorised N FSA002

578476 Atlantide Asset Management Limited Authorised N FSA001

578476 Atlantide Asset Management Limited Authorised N FSA002

578645 Dashwood Asset Management Limited Authorised N FSA001

578645 Dashwood Asset Management Limited Authorised N FSA002

Page 78: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

579169 Morgan Capital Advisors LLP Authorised N FSA001

579169 Morgan Capital Advisors LLP Authorised N FSA002

579202 FXOpen Ltd Authorised N FSA001

579202 FXOpen Ltd Authorised N FSA002

579287 Astor Ridge LLP Authorised N FSA001

579287 Astor Ridge LLP Authorised N FSA002

579495 Cameron Hume Limited Authorised N FSA001

579495 Cameron Hume Limited Authorised N FSA002

579506 CPN Investment Management LLP Authorised N FSA001

579506 CPN Investment Management LLP Authorised N FSA002

579925 OCL Capital LLP Authorised N FSA001

579925 OCL Capital LLP Authorised N FSA002

580056 Abans Global Limited Authorised N FSA001

580056 Abans Global Limited Authorised N FSA002

580185 Lumin Wealth Management Limited Authorised N FSA001

580185 Lumin Wealth Management Limited Authorised N FSA002

580200 BNY Mellon Capital Markets EMEA Limited Authorised N FSA001

580200 BNY Mellon Capital Markets EMEA Limited Authorised N FSA002

580261 Castilium Capital LLP Authorised N FSA001

580261 Castilium Capital LLP Authorised N FSA002

580269 John Street Capital LLP Authorised N FSA001

580269 John Street Capital LLP Authorised N FSA002

580379 BancTrust Securities (Europe) Limited Authorised N FSA001

580379 BancTrust Securities (Europe) Limited Authorised N FSA002

580531 Smith & Williamson Investment Management LLP Authorised N FSA001

580531 Smith & Williamson Investment Management LLP Authorised N FSA002

581079 EBI Portfolios Limited Authorised N FSA001

581079 EBI Portfolios Limited Authorised N FSA002

581129 Abaco Asset Management LLP Authorised N FSA001

581129 Abaco Asset Management LLP Authorised N FSA002

581237 Griffin Markets Limited Authorised N FSA001

581237 Griffin Markets Limited Authorised N FSA002

581374 Imperial Capital (International) LLP Authorised N FSA001

581374 Imperial Capital (International) LLP Authorised N FSA002

581400 Metronome Capital LLP Authorised N FSA001

581400 Metronome Capital LLP Authorised N FSA002

581641 Streamline Capital Management Limited Authorised N FSA001

581641 Streamline Capital Management Limited Authorised N FSA002

582104 J H Lowson & Company Limited Authorised N FSA001

582104 J H Lowson & Company Limited Authorised N FSA002

582160 Kession Capital Limited Authorised N FSA001

582160 Kession Capital Limited Authorised N FSA002

582181 Hutchinson Lilley Investments LLP Authorised N FSA001

582181 Hutchinson Lilley Investments LLP Authorised N FSA002

582190 Newcore Capital Management Finance LLP Authorised N FSA001

582190 Newcore Capital Management Finance LLP Authorised N FSA002

582201 New Peak Capital Partners LLP Authorised N FSA001

582201 New Peak Capital Partners LLP Authorised N FSA002

582333 Portman Square Capital LLP Authorised N FSA001

582333 Portman Square Capital LLP Authorised N FSA002

582519 NFU Mutual Select Investments Limited Authorised N FSA001

582519 NFU Mutual Select Investments Limited Authorised N FSA002

582555 Cologny Advisors LLP Authorised N FSA001

582555 Cologny Advisors LLP Authorised N FSA002

582587 PORTIA INVESTMENT ADVISORS LTD Authorised N FSA001

582587 PORTIA INVESTMENT ADVISORS LTD Authorised N FSA002

582604 Tristan Capital Partners LLP Authorised N FSA001

582604 Tristan Capital Partners LLP Authorised N FSA002

Page 79: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

582615 Gemini Capital Partners LLP Authorised N FSA001

582615 Gemini Capital Partners LLP Authorised N FSA002

582667 Ginward Limited Authorised N FSA001

582667 Ginward Limited Authorised N FSA002

582714 Helios Asset Management Ltd Authorised N FSA001

582714 Helios Asset Management Ltd Authorised N FSA002

582903 LJ Capital Limited Authorised N FSA001

582903 LJ Capital Limited Authorised N FSA002

582907 Bell Rock Capital Management LLP Authorised N FSA001

582907 Bell Rock Capital Management LLP Authorised N FSA002

582924 Dominion Asset Management Limited Authorised N FSA001

582924 Dominion Asset Management Limited Authorised N FSA002

583021 Tier One Capital Ltd Authorised N FSA001

583021 Tier One Capital Ltd Authorised N FSA002

583069 Misland Capital Limited Authorised N FSA001

583069 Misland Capital Limited Authorised N FSA002

583071 Blue Cedar Capital Limited Authorised N FSA001

583071 Blue Cedar Capital Limited Authorised N FSA002

583141 Salix Capital (UK) Limited Authorised N FSA001

583141 Salix Capital (UK) Limited Authorised N FSA002

583142 Smythe House Limited Authorised N FSA001

583142 Smythe House Limited Authorised N FSA002

583147 Mountstone Partners Limited Authorised N FSA001

583147 Mountstone Partners Limited Authorised N FSA002

583157 Lindisfarne Partners LLP Authorised N FSA001

583157 Lindisfarne Partners LLP Authorised N FSA002

583194 Covalis Capital LLP Authorised N FSA001

583194 Covalis Capital LLP Authorised N FSA002

583261 First Trust Global Portfolios Limited Authorised N FSA001

583261 First Trust Global Portfolios Limited Authorised N FSA002

583263 eToro (UK) Ltd Authorised N FSA001

583263 eToro (UK) Ltd Authorised N FSA002

583277 Atlantic Brokers Limited Authorised N FSA001

583277 Atlantic Brokers Limited Authorised N FSA002

583315 Ice Dragons Limited Authorised N FSA001

583315 Ice Dragons Limited Authorised N FSA002

583334 Colliers Capital Holdings Limited Authorised N FSA001

583334 Colliers Capital Holdings Limited Authorised N FSA002

583361 Seneca Partners Limited Authorised N FSA001

583361 Seneca Partners Limited Authorised N FSA002

583632 Broctagon Capital Solutions Limited Authorised N FSA001

583632 Broctagon Capital Solutions Limited Authorised N FSA002

584025 Northill Capital LLP Authorised N FSA001

584025 Northill Capital LLP Authorised N FSA002

584098 Veritas Investment Management LLP Authorised N FSA001

584098 Veritas Investment Management LLP Authorised N FSA002

584166 Solium Capital UK Limited Authorised N FSA001

584166 Solium Capital UK Limited Authorised N FSA002

584414 MSK Capital Partners LLP Authorised N FSA001

584414 MSK Capital Partners LLP Authorised N FSA002

584485 Helford Capital Partners LLP Authorised N FSA001

584485 Helford Capital Partners LLP Authorised N FSA002

584493 Clarion Investment Management Limited Authorised N FSA001

584493 Clarion Investment Management Limited Authorised N FSA002

584566 Lewis Capital Management Ltd Authorised N FSA001

584566 Lewis Capital Management Ltd Authorised N FSA002

584673 Lindengrove Capital LLP Authorised N FSA001

584673 Lindengrove Capital LLP Authorised N FSA002

Page 80: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

584720 Eyck Capital Management LLP Authorised N FSA001

584720 Eyck Capital Management LLP Authorised N FSA002

585065 Sanderson Asset Management LLP Authorised N FSA001

585065 Sanderson Asset Management LLP Authorised N FSA002

585303 JB Drax Honore (UK) Limited Authorised N FSA001

585303 JB Drax Honore (UK) Limited Authorised N FSA002

585547 LGT Vestra US Limited Authorised N FSA001

585547 LGT Vestra US Limited Authorised N FSA002

585561 8SAFE UK LIMITED Authorised N FSA001

585561 8SAFE UK LIMITED Authorised N FSA002

585576 Makuria Investment Management (UK) LLP Authorised N FSA001

585576 Makuria Investment Management (UK) LLP Authorised N FSA002

585981 Oxford Capital Partners LLP Authorised N FSA001

585981 Oxford Capital Partners LLP Authorised N FSA002

586142 IO Capital Limited Authorised N FSA001

586142 IO Capital Limited Authorised N FSA002

586157 Ancora Finance LLP Authorised N FSA001

586157 Ancora Finance LLP Authorised N FSA002

586182 J.P. Morgan Mansart Management Limited Authorised N FSA001

586182 J.P. Morgan Mansart Management Limited Authorised N FSA002

586185 Aventa Capital Partners Limited Authorised N FSA001

586185 Aventa Capital Partners Limited Authorised N FSA002

586302 Atlantic House Fund Management LLP Authorised N FSA001

586302 Atlantic House Fund Management LLP Authorised N FSA002

586420 Exotix Partners LLP Authorised N FSA001

586420 Exotix Partners LLP Authorised N FSA002

586449 Shenkman Capital Management Ltd Authorised N FSA001

586449 Shenkman Capital Management Ltd Authorised N FSA002

586463 BCS Prime Brokerage Ltd Authorised N FSA001

586463 BCS Prime Brokerage Ltd Authorised N FSA002

586466 Tradeslide Trading Tech Limited Authorised N FSA001

586466 Tradeslide Trading Tech Limited Authorised N FSA002

586468 Andurand Capital Management LLP Authorised N FSA001

586468 Andurand Capital Management LLP Authorised N FSA002

586541 Valutrades Limited Authorised N FSA001

586541 Valutrades Limited Authorised N FSA002

586545 JCAM Investments Ltd Authorised N FSA001

586545 JCAM Investments Ltd Authorised N FSA002

586570 Triton Investments Advisers LLP Authorised N FSA001

586570 Triton Investments Advisers LLP Authorised N FSA002

586743 Cluny Capital Limited Authorised N FSA001

586743 Cluny Capital Limited Authorised N FSA002

587084 MET Facilities LLP Authorised N FSA001

587084 MET Facilities LLP Authorised N FSA002

587257 MCap Global Finance (UK) LLP Authorised N FSA001

587257 MCap Global Finance (UK) LLP Authorised N FSA002

587454 LCM Commodities UK LLP Authorised N FSA001

587454 LCM Commodities UK LLP Authorised N FSA002

587457 Edmond de Rothschild Private Merchant Banking LLP Authorised N FSA001

587457 Edmond de Rothschild Private Merchant Banking LLP Authorised N FSA002

587492 Spire Partners LLP Authorised N FSA001

587492 Spire Partners LLP Authorised N FSA002

587506 ENA Investment Capital LLP Authorised N FSA001

587506 ENA Investment Capital LLP Authorised N FSA002

587596 D2L Capital Limited Authorised N FSA001

587596 D2L Capital Limited Authorised N FSA002

587629 Water Island Capital U.K. Limited Authorised N FSA001

587629 Water Island Capital U.K. Limited Authorised N FSA002

Page 81: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

587631 Pinewood Film Advisors Limited Authorised N FSA001

587631 Pinewood Film Advisors Limited Authorised N FSA002

587649 Dundas Partners LLP Authorised N FSA001

587649 Dundas Partners LLP Authorised N FSA002

587682 Ion Asset Architecture UK Limited Authorised N FSA001

587682 Ion Asset Architecture UK Limited Authorised N FSA002

587699 Broadstone Corporate Benefits Limited Authorised N FSA001

587699 Broadstone Corporate Benefits Limited Authorised N FSA002

587706 Northlander Commodity Advisors LLP Authorised N FSA001

587706 Northlander Commodity Advisors LLP Authorised N FSA002

587794 Attivo Investment Management Limited Authorised N FSA001

587794 Attivo Investment Management Limited Authorised N FSA002

588234 Hudson River Trading Europe Ltd Authorised N FSA001

588234 Hudson River Trading Europe Ltd Authorised N FSA002

588314 Lucid Markets LLP Authorised N FSA001

588314 Lucid Markets LLP Authorised N FSA002

588344 J Stern & Co. LLP Authorised N FSA001

588344 J Stern & Co. LLP Authorised N FSA002

588370 Quotidian Investments LLP Authorised N FSA001

588370 Quotidian Investments LLP Authorised N FSA002

588445 Social and Sustainable Capital LLP Authorised N FSA001

588445 Social and Sustainable Capital LLP Authorised N FSA002

588462 Resonance Impact Investment Limited Authorised N FSA001

588462 Resonance Impact Investment Limited Authorised N FSA002

588466 Sorbus Partners LLP Authorised N FSA001

588466 Sorbus Partners LLP Authorised N FSA002

588604 Park Vale Capital Limited Authorised N FSA001

588604 Park Vale Capital Limited Authorised N FSA002

588831 NASDAQ NLX Limited Authorised N FSA001

588831 NASDAQ NLX Limited Authorised N FSA002

589092 Palomar Capital Management LLP Authorised N FSA001

589092 Palomar Capital Management LLP Authorised N FSA002

589124 Seven Investment Management LLP Authorised N FSA001

589124 Seven Investment Management LLP Authorised N FSA002

589324 Hutchin Hill UK LLP Authorised N FSA001

589324 Hutchin Hill UK LLP Authorised N FSA002

589327 Axis Capital Markets Limited Authorised N FSA001

589327 Axis Capital Markets Limited Authorised N FSA002

589644 Capital Research Company UK Branch Authorised N FSA001

589644 Capital Research Company UK Branch Authorised N FSA002

589899 Polleit & Riechert Investment Management LLP Authorised N FSA001

589899 Polleit & Riechert Investment Management LLP Authorised N FSA002

590143 St James's Asset Management LLP Authorised N FSA001

590143 St James's Asset Management LLP Authorised N FSA002

590179 D. E. Shaw & Co. (London) LLP Authorised N FSA001

590179 D. E. Shaw & Co. (London) LLP Authorised N FSA002

590299 Atom8 Financial Services LLP Authorised N FSA001

590299 Atom8 Financial Services LLP Authorised N FSA002

590782 Kapsecure Limited Authorised N FSA001

590782 Kapsecure Limited Authorised N FSA002

590890 Abshire-Smith Global Ltd Authorised N FSA001

590890 Abshire-Smith Global Ltd Authorised N FSA002

590919 Puma Investment Management Limited Authorised N FSA001

590919 Puma Investment Management Limited Authorised N FSA002

591361 ATC Brokers Limited Authorised N FSA001

591361 ATC Brokers Limited Authorised N FSA002

591530 Long Harbour Ltd Authorised N FSA001

591530 Long Harbour Ltd Authorised N FSA002

Page 82: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

591741 Accola Capital LLP Authorised N FSA001

591741 Accola Capital LLP Authorised N FSA002

591755 Apeiron Securities and Investments LLP Authorised N FSA001

591755 Apeiron Securities and Investments LLP Authorised N FSA002

591769 Econumy LLP Authorised N FSA001

591769 Econumy LLP Authorised N FSA002

591814 Mainspring Nominees Limited Authorised N FSA001

591814 Mainspring Nominees Limited Authorised N FSA002

591903 Climate Mundial Limited Authorised N FSA001

591903 Climate Mundial Limited Authorised N FSA002

591943 Rockhopper Algorithmics UK LLP Authorised N FSA001

591943 Rockhopper Algorithmics UK LLP Authorised N FSA002

592056 Elton Capital Advisors Limited Authorised N FSA001

592056 Elton Capital Advisors Limited Authorised N FSA002

592077 Stonehedge Partners LLP Authorised N FSA001

592077 Stonehedge Partners LLP Authorised N FSA002

592240 Rare Infrastructure (UK) Limited Authorised N FSA001

592240 Rare Infrastructure (UK) Limited Authorised N FSA002

592260 VFX Financial PLC Authorised N FSA001

592260 VFX Financial PLC Authorised N FSA002

592285 Brummer & Partners Capital LLP Authorised N FSA001

592285 Brummer & Partners Capital LLP Authorised N FSA002

592324 SCB & Associates Limited Authorised N FSA001

592324 SCB & Associates Limited Authorised N FSA002

592409 Scott Investment Partners LLP Authorised N FSA001

592409 Scott Investment Partners LLP Authorised N FSA002

592777 Orbis Access (UK) Limited Authorised N FSA001

592777 Orbis Access (UK) Limited Authorised N FSA002

592778 Aetos Capital Group (UK) Limited Authorised N FSA001

592778 Aetos Capital Group (UK) Limited Authorised N FSA002

592953 Springwood Capital (UK) Ltd Authorised N FSA001

592953 Springwood Capital (UK) Ltd Authorised N FSA002

592986 Parabellum Markets LLP Authorised N FSA001

592986 Parabellum Markets LLP Authorised N FSA002

593186 HOBART CAPITAL MARKETS LLP Authorised N FSA001

593186 HOBART CAPITAL MARKETS LLP Authorised N FSA002

593265 GBIM Limited Authorised N FSA001

593265 GBIM Limited Authorised N FSA002

593311 Core Capital Partners LLP Authorised N FSA001

593311 Core Capital Partners LLP Authorised N FSA002

593379 ISAM (Europe) LLP Authorised N FSA001

593379 ISAM (Europe) LLP Authorised N FSA002

593420 Parus Finance (UK) Limited Authorised N FSA001

593420 Parus Finance (UK) Limited Authorised N FSA002

593439 Protean Capital LLP Authorised N FSA001

593439 Protean Capital LLP Authorised N FSA002

593541 Ronit Capital LLP Authorised N FSA001

593541 Ronit Capital LLP Authorised N FSA002

593757 Worsley Associates LLP Authorised N FSA001

593757 Worsley Associates LLP Authorised N FSA002

593758 Broad Securities LLP Authorised N FSA001

593758 Broad Securities LLP Authorised N FSA002

593791 AHL Partners LLP Authorised N FSA001

593791 AHL Partners LLP Authorised N FSA002

593805 Edesia Asset Management UK Ltd Authorised N FSA001

593805 Edesia Asset Management UK Ltd Authorised N FSA002

594002 Commodities World Capital LLP Authorised N FSA001

594002 Commodities World Capital LLP Authorised N FSA002

Page 83: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

594155 Thomas Miller Wealth Management Limited Authorised N FSA001

594155 Thomas Miller Wealth Management Limited Authorised N FSA002

594166 MacKay Shields UK LLP Authorised N FSA001

594166 MacKay Shields UK LLP Authorised N FSA002

595240 Ceres Securities Limited Authorised N FSA001

595240 Ceres Securities Limited Authorised N FSA002

595316 Salt Rock Capital Partners LLP Authorised N FSA001

595316 Salt Rock Capital Partners LLP Authorised N FSA002

595450 Admiral Markets UK Ltd Authorised N FSA001

595450 Admiral Markets UK Ltd Authorised N FSA002

595504 Profin Partners Limited Authorised N FSA001

595504 Profin Partners Limited Authorised N FSA002

595603 Westbury Private Clients LLP Authorised N FSA001

595603 Westbury Private Clients LLP Authorised N FSA002

595713 UK Clearing House Limited Authorised N FSA001

595713 UK Clearing House Limited Authorised N FSA002

595785 Aquis Exchange Limited Authorised N FSA001

595785 Aquis Exchange Limited Authorised N FSA002

595793 Idalion Capital (UK) LLP Authorised N FSA001

595793 Idalion Capital (UK) LLP Authorised N FSA002

595830 Wolos Capital LLP Authorised N FSA001

595830 Wolos Capital LLP Authorised N FSA002

595844 City of London Markets Limited Authorised N FSA001

595844 City of London Markets Limited Authorised N FSA002

595847 Albatroz Security Management UK LLP Authorised N FSA001

595847 Albatroz Security Management UK LLP Authorised N FSA002

595869 Vendome Asset Management Limited Authorised N FSA001

595869 Vendome Asset Management Limited Authorised N FSA002

595875 Global Custodial Services Ltd Authorised N FSA001

595875 Global Custodial Services Ltd Authorised N FSA002

596056 Manzanita Capital UK LLP Authorised N FSA001

596056 Manzanita Capital UK LLP Authorised N FSA002

596118 Marylebone Partners LLP Authorised N FSA001

596118 Marylebone Partners LLP Authorised N FSA002

596146 Monex Europe Markets Limited Authorised N FSA001

596146 Monex Europe Markets Limited Authorised N FSA002

596463 Tellsons Investors LLP Authorised N FSA001

596463 Tellsons Investors LLP Authorised N FSA002

596483 Zelof & Partners LLP Authorised N FSA001

596483 Zelof & Partners LLP Authorised N FSA002

596652 Bond Dickinson Wealth Limited Authorised N FSA001

596652 Bond Dickinson Wealth Limited Authorised N FSA002

596676 Stafford Private Equity Limited Authorised N FSA001

596676 Stafford Private Equity Limited Authorised N FSA002

596682 Cambridge Mercantile Risk Management (UK) Ltd Authorised N FSA001

596682 Cambridge Mercantile Risk Management (UK) Ltd Authorised N FSA002

596691 Northern Fides Capital Partners LLP Authorised N FSA001

596691 Northern Fides Capital Partners LLP Authorised N FSA002

597200 Quadra Capital Partners LLP Authorised N FSA001

597200 Quadra Capital Partners LLP Authorised N FSA002

597208 Ashenden Capital Management LLP Authorised N FSA001

597208 Ashenden Capital Management LLP Authorised N FSA002

597266 Palmerston Capital Management LLP Authorised N FSA001

597266 Palmerston Capital Management LLP Authorised N FSA002

597642 Piquant Technologies LLP Authorised N FSA001

597642 Piquant Technologies LLP Authorised N FSA002

598743 Clear Capital Management LLP Authorised N FSA001

598743 Clear Capital Management LLP Authorised N FSA002

Page 84: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

599210 Mariner Investment (Europe) LLP Authorised N FSA001

599210 Mariner Investment (Europe) LLP Authorised N FSA002

599220 Option Solutions LLP Authorised N FSA001

599220 Option Solutions LLP Authorised N FSA002

599236 Amstel Securities LLP Authorised N FSA001

599236 Amstel Securities LLP Authorised N FSA002

599241 CFE (UK) Ltd Authorised N FSA001

599241 CFE (UK) Ltd Authorised N FSA002

599268 Arcanum Asset Management Ltd Authorised N FSA001

599268 Arcanum Asset Management Ltd Authorised N FSA002

599278 Jay Capital Limited Authorised N FSA001

599278 Jay Capital Limited Authorised N FSA002

599280 Egerton Capital (UK) LLP Authorised N FSA001

599280 Egerton Capital (UK) LLP Authorised N FSA002

599284 Zentak Capital LLP Authorised N FSA001

599284 Zentak Capital LLP Authorised N FSA002

599290 Sustainable Insight Capital Management LLP Authorised N FSA001

599290 Sustainable Insight Capital Management LLP Authorised N FSA002

599294 XHE Capital LLP Authorised N FSA001

599294 XHE Capital LLP Authorised N FSA002

599295 TT International Investment Management LLP Authorised N FSA001

599295 TT International Investment Management LLP Authorised N FSA002

599403 IDS Capital (UK) LTD Authorised N FSA001

599403 IDS Capital (UK) LTD Authorised N FSA002

599417 Whitehelm Capital Ltd Authorised N FSA001

599417 Whitehelm Capital Ltd Authorised N FSA002

600460 Future Money Limited Authorised N FSA001

600460 Future Money Limited Authorised N FSA002

600837 Stater Global Markets Limited Authorised N FSA001

600837 Stater Global Markets Limited Authorised N FSA002

600936 80Plus Partners LLP Authorised N FSA001

600936 80Plus Partners LLP Authorised N FSA002

600943 Alltus Capital (UK) LLP Authorised N FSA001

600943 Alltus Capital (UK) LLP Authorised N FSA002

600954 Baupost Group International LLP Authorised N FSA001

600954 Baupost Group International LLP Authorised N FSA002

601013 Gulf Central Agency Asset Management Ltd Authorised N FSA001

601013 Gulf Central Agency Asset Management Ltd Authorised N FSA002

601025 WM Capital Management Ltd Authorised N FSA001

601025 WM Capital Management Ltd Authorised N FSA002

601030 Enpi LLP Authorised N FSA001

601030 Enpi LLP Authorised N FSA002

601037 Quorum Capital Limited Authorised N FSA001

601037 Quorum Capital Limited Authorised N FSA002

601086 CarVal Investors GB LLP Authorised N FSA001

601086 CarVal Investors GB LLP Authorised N FSA002

601268 WRM Capinvest Ltd Authorised N FSA001

601268 WRM Capinvest Ltd Authorised N FSA002

601807 Leslie & Swallow LLP Authorised N FSA001

601807 Leslie & Swallow LLP Authorised N FSA002

602082 Currency Solutions Limited Authorised N FSA001

602082 Currency Solutions Limited Authorised N FSA002

602293 Funding-Tree (UK) Limited Authorised N FSA001

602293 Funding-Tree (UK) Limited Authorised N FSA002

602311 Target Advisers LLP Authorised N FSA001

602311 Target Advisers LLP Authorised N FSA002

602528 Indos Financial Ltd Authorised N FSA001

602528 Indos Financial Ltd Authorised N FSA002

Page 85: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

602553 Geneva Capital Partners LLP Authorised N FSA001

602553 Geneva Capital Partners LLP Authorised N FSA002

602660 ARG Asset Management LLP Authorised N FSA001

602660 ARG Asset Management LLP Authorised N FSA002

602869 Continental Capital Markets Limited Authorised N FSA001

602869 Continental Capital Markets Limited Authorised N FSA002

603186 LQD Markets (UK) Limited Authorised N FSA001

603186 LQD Markets (UK) Limited Authorised N FSA002

603570 Alphadyne Asset Management (UK) LLP Authorised N FSA001

603570 Alphadyne Asset Management (UK) LLP Authorised N FSA002

603601 Armila Capital Limited Authorised N FSA001

603601 Armila Capital Limited Authorised N FSA002

603693 Bybrook Capital LLP Authorised N FSA001

603693 Bybrook Capital LLP Authorised N FSA002

603935 Greensledge Capital Markets Europe LLP Authorised N FSA001

603935 Greensledge Capital Markets Europe LLP Authorised N FSA002

604090 Fair Oaks Capital Ltd Authorised N FSA001

604090 Fair Oaks Capital Ltd Authorised N FSA002

604439 Enterprise Investment Partners LLP Authorised N FSA001

604439 Enterprise Investment Partners LLP Authorised N FSA002

604515 Horizon Stockbroking Limited Authorised N FSA001

604515 Horizon Stockbroking Limited Authorised N FSA002

604563 Independent Risk Management Solution Limited Authorised N FSA001

604563 Independent Risk Management Solution Limited Authorised N FSA002

604593 NUOVO CAPITAL WEALTH MANAGEMENT LIMITED Authorised N FSA001

604593 NUOVO CAPITAL WEALTH MANAGEMENT LIMITED Authorised N FSA002

604661 XY ERS UK Ltd Authorised N FSA001

604661 XY ERS UK Ltd Authorised N FSA002

604779 WorldWideMarkets Online Trading Limited Authorised N FSA001

604779 WorldWideMarkets Online Trading Limited Authorised N FSA002

605022 MC Peat & Co LLP Authorised N FSA001

605022 MC Peat & Co LLP Authorised N FSA002

605047 Cromwell Investment Services Limited Authorised N FSA001

605047 Cromwell Investment Services Limited Authorised N FSA002

605070 Amana Financial Services UK Limited Authorised N FSA001

605070 Amana Financial Services UK Limited Authorised N FSA002

605552 Mariana Investment Partners LLP Authorised N FSA001

605552 Mariana Investment Partners LLP Authorised N FSA002

605598 GPS Capital Markets Limited Authorised N FSA001

605598 GPS Capital Markets Limited Authorised N FSA002

605641 RAM Foreign Exchange Limited Authorised N FSA001

605641 RAM Foreign Exchange Limited Authorised N FSA002

605750 Hannam & Partners (Advisory) LLP Authorised N FSA001

605750 Hannam & Partners (Advisory) LLP Authorised N FSA002

605765 Zark Capital Ltd Authorised N FSA001

605765 Zark Capital Ltd Authorised N FSA002

605879 HarbourVest Partners (Europe) Limited Authorised N FSA001

605879 HarbourVest Partners (Europe) Limited Authorised N FSA002

605908 Newgate Private Equity LLP Authorised N FSA001

605908 Newgate Private Equity LLP Authorised N FSA002

605910 AD Capital LLP Authorised N FSA001

605910 AD Capital LLP Authorised N FSA002

605912 BCI Finance Limited Authorised N FSA001

605912 BCI Finance Limited Authorised N FSA002

605945 LIM Advisors (London) Limited Authorised N FSA001

605945 LIM Advisors (London) Limited Authorised N FSA002

605990 Penfida Ltd Authorised N FSA001

605990 Penfida Ltd Authorised N FSA002

Page 86: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

606095 Praesidian Capital Europe LLP Authorised N FSA001

606095 Praesidian Capital Europe LLP Authorised N FSA002

606110 Citypoint Trading Limited Authorised N FSA001

606110 Citypoint Trading Limited Authorised N FSA002

606186 ICG Alternative Investment Limited Authorised N FSA001

606186 ICG Alternative Investment Limited Authorised N FSA002

606298 Kingdom Futures Limited Authorised N FSA001

606298 Kingdom Futures Limited Authorised N FSA002

606390 GKAM LLP Authorised N FSA001

606390 GKAM LLP Authorised N FSA002

606579 Hollbeach Investment Management LLP Authorised N FSA001

606579 Hollbeach Investment Management LLP Authorised N FSA002

606798 Great Point Investments Limited Authorised N FSA001

606798 Great Point Investments Limited Authorised N FSA002

607146 East Lodge Capital Partners LLP Authorised N FSA001

607146 East Lodge Capital Partners LLP Authorised N FSA002

607267 Maven Derivatives Limited Authorised N FSA001

607267 Maven Derivatives Limited Authorised N FSA002

607305 Epsilon Finance Capacity Limited Authorised N FSA001

607305 Epsilon Finance Capacity Limited Authorised N FSA002

607356 Milkwood Capital Limited Authorised N FSA001

607356 Milkwood Capital Limited Authorised N FSA002

607414 Sparrows Capital Limited Authorised N FSA001

607414 Sparrows Capital Limited Authorised N FSA002

607479 GS Capital Partners UK LLP Authorised N FSA001

607479 GS Capital Partners UK LLP Authorised N FSA002

607481 Prism Financial Products LLP Authorised N FSA001

607481 Prism Financial Products LLP Authorised N FSA002

607483 Redburn (Europe) Limited Authorised N FSA001

607483 Redburn (Europe) Limited Authorised N FSA002

607529 Abbeville Partners LLP Authorised N FSA001

607529 Abbeville Partners LLP Authorised N FSA002

607673 Liquid Capital Management LLP Authorised N FSA001

607673 Liquid Capital Management LLP Authorised N FSA002

608955 Alger Management Ltd Authorised N FSA001

608955 Alger Management Ltd Authorised N FSA002

609068 Zen Assets Limited Authorised N FSA001

609068 Zen Assets Limited Authorised N FSA002

609070 Gemsstock Limited Authorised N FSA001

609070 Gemsstock Limited Authorised N FSA002

609146 Avus Capital UK Limited Authorised N FSA001

609146 Avus Capital UK Limited Authorised N FSA002

609226 Telesto Markets LLP Authorised N FSA001

609226 Telesto Markets LLP Authorised N FSA002

609276 StoneFarm Capital LLP Authorised N FSA001

609276 StoneFarm Capital LLP Authorised N FSA002

609277 A Vartan Limited Authorised N FSA001

609277 A Vartan Limited Authorised N FSA002

609326 Sanditon Asset Management Limited Authorised N FSA001

609326 Sanditon Asset Management Limited Authorised N FSA002

609970 Fortrade Limited Authorised N FSA001

609970 Fortrade Limited Authorised N FSA002

609977 XR Trading Europe LLP Authorised N FSA001

609977 XR Trading Europe LLP Authorised N FSA002

610006 Clarmond Wealth Limited Authorised N FSA001

610006 Clarmond Wealth Limited Authorised N FSA002

610208 UK Green Investment Bank Financial Services Limited Authorised N FSA001

610208 UK Green Investment Bank Financial Services Limited Authorised N FSA002

Page 87: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

610220 Invicta Securities Limited Authorised N FSA001

610220 Invicta Securities Limited Authorised N FSA002

610230 KMG Investment Management Limited Authorised N FSA001

610230 KMG Investment Management Limited Authorised N FSA002

610291 PentAlpha Capital Ltd Authorised N FSA001

610291 PentAlpha Capital Ltd Authorised N FSA002

610297 Headlands Trading (UK) LLP Authorised N FSA001

610297 Headlands Trading (UK) LLP Authorised N FSA002

610443 KGHL Research (UK) Limited Authorised N FSA001

610443 KGHL Research (UK) Limited Authorised N FSA002

610478 Symmetry Investments UK LLP Authorised N FSA001

610478 Symmetry Investments UK LLP Authorised N FSA002

610534 China Merchants Securities (UK) Limited Authorised N FSA001

610534 China Merchants Securities (UK) Limited Authorised N FSA002

610612 Sarkis Limited Authorised N FSA001

610612 Sarkis Limited Authorised N FSA002

610663 Thames Valley Investment Advisers Ltd Authorised N FSA001

610663 Thames Valley Investment Advisers Ltd Authorised N FSA002

610674 Trench Capital Partners LLP Authorised N FSA001

610674 Trench Capital Partners LLP Authorised N FSA002

610684 Generation Alfa Limited Authorised N FSA001

610684 Generation Alfa Limited Authorised N FSA002

610729 Arabesque Asset Management Limited Authorised N FSA001

610729 Arabesque Asset Management Limited Authorised N FSA002

610765 Perenna Capital Management LLP Authorised N FSA001

610765 Perenna Capital Management LLP Authorised N FSA002

611337 Pollen Street Capital Limited Authorised N FSA001

611337 Pollen Street Capital Limited Authorised N FSA002

611379 European Capital Fund Management Limited Authorised N FSA001

611379 European Capital Fund Management Limited Authorised N FSA002

611391 Ledbury Capital Partners LLP Authorised N FSA001

611391 Ledbury Capital Partners LLP Authorised N FSA002

611694 Omnis Investments Limited Authorised N FSA001

611694 Omnis Investments Limited Authorised N FSA002

612117 Foundation Investment Management Limited Authorised N FSA001

612117 Foundation Investment Management Limited Authorised N FSA002

612134 Armstrong Energy Limited Authorised N FSA001

612134 Armstrong Energy Limited Authorised N FSA002

612226 Boussard & Gavaudan Investment Management LLP Authorised N FSA001

612226 Boussard & Gavaudan Investment Management LLP Authorised N FSA002

612473 Numis Asset Management Limited Authorised N FSA001

612473 Numis Asset Management Limited Authorised N FSA002

612590 Cairn Loan Investments LLP Authorised N FSA001

612590 Cairn Loan Investments LLP Authorised N FSA002

612721 Tutman LLP Authorised N FSA001

612721 Tutman LLP Authorised N FSA002

612885 InvestQuest Capital LLP Authorised N FSA001

612885 InvestQuest Capital LLP Authorised N FSA002

613003 Venture Founders Limited Authorised N FSA001

613003 Venture Founders Limited Authorised N FSA002

613008 Mole Valley Asset Management Ltd Authorised N FSA001

613008 Mole Valley Asset Management Ltd Authorised N FSA002

613021 Syndicate Room Ltd Authorised N FSA001

613021 Syndicate Room Ltd Authorised N FSA002

613134 CF Partners Capital Management LLP Authorised N FSA001

613134 CF Partners Capital Management LLP Authorised N FSA002

613245 Altum Capital Management (UK) Ltd Authorised N FSA001

613245 Altum Capital Management (UK) Ltd Authorised N FSA002

Page 88: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

613327 Lincoln Private Investment Office LLP Authorised N FSA001

613327 Lincoln Private Investment Office LLP Authorised N FSA002

613381 VIBHS Financial Ltd Authorised N FSA001

613381 VIBHS Financial Ltd Authorised N FSA002

613470 Reyker Trust & Depositary Services Limited Authorised N FSA001

613470 Reyker Trust & Depositary Services Limited Authorised N FSA002

613481 CM Investment Solutions Limited Authorised N FSA001

613481 CM Investment Solutions Limited Authorised N FSA002

613497 Ares Management UK Limited Authorised N FSA001

613497 Ares Management UK Limited Authorised N FSA002

613498 Brigade Capital UK LLP Authorised N FSA001

613498 Brigade Capital UK LLP Authorised N FSA002

613499 London House Exchange Limited Authorised N FSA001

613499 London House Exchange Limited Authorised N FSA002

613500 Thorntons Investment Management Ltd Authorised N FSA001

613500 Thorntons Investment Management Ltd Authorised N FSA002

613543 Lansdowne Partners (UK) LLP Authorised N FSA001

613543 Lansdowne Partners (UK) LLP Authorised N FSA002

613546 PATAC LIMITED Authorised N FSA001

613546 PATAC LIMITED Authorised N FSA002

613547 Cube Capital Investment Management Limited Authorised N FSA001

613547 Cube Capital Investment Management Limited Authorised N FSA002

613583 Invexstar Capital Management Limited Authorised N FSA001

613583 Invexstar Capital Management Limited Authorised N FSA002

613665 Monogram Capital Management LLP Authorised N FSA001

613665 Monogram Capital Management LLP Authorised N FSA002

613681 TCW Europe Limited Authorised N FSA001

613681 TCW Europe Limited Authorised N FSA002

614990 Goldman Sachs Asset Management Global Services Limited Authorised N FSA001

614990 Goldman Sachs Asset Management Global Services Limited Authorised N FSA002

615368 Savills Investment Management LLP Authorised N FSA001

615368 Savills Investment Management LLP Authorised N FSA002

615371 Iliad Capital Limited Authorised N FSA001

615371 Iliad Capital Limited Authorised N FSA002

615377 Ramek Asset Management Limited Authorised N FSA001

615377 Ramek Asset Management Limited Authorised N FSA002

615463 Shard Capital AIFM LLP Authorised N FSA001

615463 Shard Capital AIFM LLP Authorised N FSA002

615672 Wave Securities LLP Authorised N FSA001

615672 Wave Securities LLP Authorised N FSA002

615732 NGEN Capital Ltd Authorised N FSA001

615732 NGEN Capital Ltd Authorised N FSA002

615778 VR Advisory Services (UK) LLP Authorised N FSA001

615778 VR Advisory Services (UK) LLP Authorised N FSA002

616032 SVK Capital Management Ltd Authorised N FSA001

616032 SVK Capital Management Ltd Authorised N FSA002

616093 ACG Advisors (UK) LLP Authorised N FSA001

616093 ACG Advisors (UK) LLP Authorised N FSA002

616195 PrimeStone Capital LLP Authorised N FSA001

616195 PrimeStone Capital LLP Authorised N FSA002

616260 Aventicum Capital Management (UK) LLP Authorised N FSA001

616260 Aventicum Capital Management (UK) LLP Authorised N FSA002

616262 Tritax Management LLP Authorised N FSA001

616262 Tritax Management LLP Authorised N FSA002

616272 Amagis Capital Partners LLP Authorised N FSA001

616272 Amagis Capital Partners LLP Authorised N FSA002

616346 AgFe Advisory Limited Authorised N FSA001

616346 AgFe Advisory Limited Authorised N FSA002

Page 89: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

616354 Coppin Collings Ltd Authorised N FSA001

616354 Coppin Collings Ltd Authorised N FSA002

616488 JMH Asset Management Ltd Authorised N FSA001

616488 JMH Asset Management Ltd Authorised N FSA002

616510 GIB (UK) Alternative Investment Management Limited Authorised N FSA001

616510 GIB (UK) Alternative Investment Management Limited Authorised N FSA002

616537 Dymon Asia Capital (UK) LLP Authorised N FSA001

616537 Dymon Asia Capital (UK) LLP Authorised N FSA002

616885 Nanook Energy Advisors LLP Authorised N FSA001

616885 Nanook Energy Advisors LLP Authorised N FSA002

616886 Hanfore Capital Limited Authorised N FSA001

616886 Hanfore Capital Limited Authorised N FSA002

616985 Foreign Currency Innovations Limited Authorised N FSA001

616985 Foreign Currency Innovations Limited Authorised N FSA002

617037 SC Lowy Asset Management (UK) Ltd Authorised N FSA001

617037 SC Lowy Asset Management (UK) Ltd Authorised N FSA002

617163 Archr LLP Authorised N FSA001

617163 Archr LLP Authorised N FSA002

617846 Pentwater Capital Management Europe LLP Authorised N FSA001

617846 Pentwater Capital Management Europe LLP Authorised N FSA002

617928 OHA (UK) LLP Authorised N FSA001

617928 OHA (UK) LLP Authorised N FSA002

618047 M7 Real Estate Financial Services Limited Authorised N FSA001

618047 M7 Real Estate Financial Services Limited Authorised N FSA002

618176 Courtville Partners LLP Authorised N FSA001

618176 Courtville Partners LLP Authorised N FSA002

618199 Brunswick Investment Management Limited Authorised N FSA001

618199 Brunswick Investment Management Limited Authorised N FSA002

618281 Akur Limited Authorised N FSA001

618281 Akur Limited Authorised N FSA002

618657 Highforest Capital Limited Authorised N FSA001

618657 Highforest Capital Limited Authorised N FSA002

620330 Lotus Financial Solutions Limited Authorised N FSA001

620330 Lotus Financial Solutions Limited Authorised N FSA002

622004 Horizon Asset LLP Authorised N FSA001

622004 Horizon Asset LLP Authorised N FSA002

622574 Curve Markets (UK) Limited Authorised N FSA001

622574 Curve Markets (UK) Limited Authorised N FSA002

622809 ZAIS Group (UK) Ltd Authorised N FSA001

622809 ZAIS Group (UK) Ltd Authorised N FSA002

622870 Halcyon Commodities (UK) Limited Authorised N FSA001

622870 Halcyon Commodities (UK) Limited Authorised N FSA002

622897 GMO-Z.com Trade UK Limited Authorised N FSA001

622897 GMO-Z.com Trade UK Limited Authorised N FSA002

622916 St James's Place Investment Administration Limited Authorised N FSA001

622916 St James's Place Investment Administration Limited Authorised N FSA002

623027 Marine Capital Limited Authorised N FSA001

623027 Marine Capital Limited Authorised N FSA002

623054 CDAM (UK) Limited Authorised N FSA001

623054 CDAM (UK) Limited Authorised N FSA002

623131 Saxon Capital Limited Authorised N FSA001

623131 Saxon Capital Limited Authorised N FSA002

623166 Twelve Capital (UK) Ltd Authorised N FSA001

623166 Twelve Capital (UK) Ltd Authorised N FSA002

623190 Synergy Markets Limited Authorised N FSA001

623190 Synergy Markets Limited Authorised N FSA002

623197 Praxis Partners LLP Authorised N FSA001

623197 Praxis Partners LLP Authorised N FSA002

Page 90: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

623509 CMC Capital Limited Authorised N FSA001

623509 CMC Capital Limited Authorised N FSA002

623511 CORDET Capital Partners LLP Authorised N FSA001

623511 CORDET Capital Partners LLP Authorised N FSA002

623682 Cumberland Place Financial Management Limited Authorised N FSA001

623682 Cumberland Place Financial Management Limited Authorised N FSA002

623683 Crowd2Fund Limited Authorised N FSA001

623683 Crowd2Fund Limited Authorised N FSA002

623757 Crux Asset Management Limited Authorised N FSA001

623757 Crux Asset Management Limited Authorised N FSA002

623761 MetLife Investment Management Limited (MIML) Authorised N FSA001

623761 MetLife Investment Management Limited (MIML) Authorised N FSA002

623765 Realworld Capital Management Ltd Authorised N FSA001

623765 Realworld Capital Management Ltd Authorised N FSA002

623842 Working Capital Advisors (UK) Limited Authorised N FSA001

623842 Working Capital Advisors (UK) Limited Authorised N FSA002

624042 Leo Alexander Wealth & Financial Management Limited Authorised N FSA001

624042 Leo Alexander Wealth & Financial Management Limited Authorised N FSA002

624184 HCAM INVESTMENT MANAGEMENT UK LIMITED Authorised N FSA001

624184 HCAM INVESTMENT MANAGEMENT UK LIMITED Authorised N FSA002

624189 Goldman Sachs MB Services Limited Authorised N FSA001

624189 Goldman Sachs MB Services Limited Authorised N FSA002

624196 Activus Wealth Limited Authorised N FSA001

624196 Activus Wealth Limited Authorised N FSA002

624225 Formax Prime Capital (UK) Limited Authorised N FSA001

624225 Formax Prime Capital (UK) Limited Authorised N FSA002

624278 Intermede Investment Partners Limited Authorised N FSA001

624278 Intermede Investment Partners Limited Authorised N FSA002

624429 Caygan Capital Ltd Authorised N FSA001

624429 Caygan Capital Ltd Authorised N FSA002

624445 Castlebay Investment Partners LLP Authorised N FSA001

624445 Castlebay Investment Partners LLP Authorised N FSA002

624475 Ellington Management Group (UK) LLP Authorised N FSA001

624475 Ellington Management Group (UK) LLP Authorised N FSA002

624555 Eureeca Limited Authorised N FSA001

624555 Eureeca Limited Authorised N FSA002

624558 Corsus Capital Limited Authorised N FSA001

624558 Corsus Capital Limited Authorised N FSA002

624569 Eleva Capital LLP Authorised N FSA001

624569 Eleva Capital LLP Authorised N FSA002

624580 Cadence Investment Partners LLP Authorised N FSA001

624580 Cadence Investment Partners LLP Authorised N FSA002

624586 Park Street Advisors Limited Authorised N FSA001

624586 Park Street Advisors Limited Authorised N FSA002

624588 Five Rings Capital LLP Authorised N FSA001

624588 Five Rings Capital LLP Authorised N FSA002

624898 Kingsway Capital LLP Authorised N FSA001

624898 Kingsway Capital LLP Authorised N FSA002

624899 Bunhill Partners LLP Authorised N FSA001

624899 Bunhill Partners LLP Authorised N FSA002

624990 Westgrove Partners Limited Authorised N FSA001

624990 Westgrove Partners Limited Authorised N FSA002

625054 Makor Securities London Limited Authorised N FSA001

625054 Makor Securities London Limited Authorised N FSA002

625263 ALLX Ltd Authorised N FSA001

625263 ALLX Ltd Authorised N FSA002

625554 SICP LLP Authorised N FSA001

625554 SICP LLP Authorised N FSA002

Page 91: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

625562 Square Mile Investment Services Limited Authorised N FSA001

625562 Square Mile Investment Services Limited Authorised N FSA002

625685 Abberton Capital LLP Authorised N FSA001

625685 Abberton Capital LLP Authorised N FSA002

626359 Bartholomew Hawkins Asset Management Ltd Authorised N FSA001

626359 Bartholomew Hawkins Asset Management Ltd Authorised N FSA002

626431 Bowmore Asset Management Limited Authorised N FSA001

626431 Bowmore Asset Management Limited Authorised N FSA002

626441 BACIT (UK) Limited Authorised N FSA001

626441 BACIT (UK) Limited Authorised N FSA002

627404 Arctic Blue Capital Ltd Authorised N FSA001

627404 Arctic Blue Capital Ltd Authorised N FSA002

627405 The Eurocredit Exchange Ltd Authorised N FSA001

627405 The Eurocredit Exchange Ltd Authorised N FSA002

627407 Veritas Asset Management LLP Authorised N FSA001

627407 Veritas Asset Management LLP Authorised N FSA002

627418 Esquiline Capital Ltd Authorised N FSA001

627418 Esquiline Capital Ltd Authorised N FSA002

627476 Thunderbird Partners LLP Authorised N FSA001

627476 Thunderbird Partners LLP Authorised N FSA002

627697 Frank Investments Limited Authorised N FSA001

627697 Frank Investments Limited Authorised N FSA002

627829 Smart Investment Management Limited Authorised N FSA001

627829 Smart Investment Management Limited Authorised N FSA002

627897 Resonance Asset Management Limited Authorised N FSA001

627897 Resonance Asset Management Limited Authorised N FSA002

627994 Squarepoint Capital LLP Authorised N FSA001

627994 Squarepoint Capital LLP Authorised N FSA002

628267 Hamilton Court FX LLP Authorised N FSA001

628267 Hamilton Court FX LLP Authorised N FSA002

628614 Peregrine & Black Limited Authorised N FSA001

628614 Peregrine & Black Limited Authorised N FSA002

628740 New Amsterdam Capital Management Ltd Authorised N FSA001

628740 New Amsterdam Capital Management Ltd Authorised N FSA002

629100 St. Mary's Private Wealth Limited Authorised N FSA001

629100 St. Mary's Private Wealth Limited Authorised N FSA002

629106 Sand Grove Capital Management LLP Authorised N FSA001

629106 Sand Grove Capital Management LLP Authorised N FSA002

629271 Hosking Partners LLP Authorised N FSA001

629271 Hosking Partners LLP Authorised N FSA002

629310 AngelList Ltd Authorised N FSA001

629310 AngelList Ltd Authorised N FSA002

629337 GZC Investment Management Limited Authorised N FSA001

629337 GZC Investment Management Limited Authorised N FSA002

629431 Cardano Risk Management Limited Authorised N FSA001

629431 Cardano Risk Management Limited Authorised N FSA002

629485 Bloomberg Trading Facility Limited Authorised N FSA001

629485 Bloomberg Trading Facility Limited Authorised N FSA002

629539 MFM Investment Ltd Authorised N FSA001

629539 MFM Investment Ltd Authorised N FSA002

629586 IS Prime Limited Authorised N FSA001

629586 IS Prime Limited Authorised N FSA002

629591 Cadogan Securities UK Limited Authorised N FSA001

629591 Cadogan Securities UK Limited Authorised N FSA002

629623 Price Value Partners Limited Authorised N FSA001

629623 Price Value Partners Limited Authorised N FSA002

629628 TF Global Markets (UK) Limited Authorised N FSA001

629628 TF Global Markets (UK) Limited Authorised N FSA002

Page 92: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

629630 Alken Asset Management Ltd Authorised N FSA001

629630 Alken Asset Management Ltd Authorised N FSA002

629950 Monarch Alternative Capital (Europe) Ltd Authorised N FSA001

629950 Monarch Alternative Capital (Europe) Ltd Authorised N FSA002

630094 ICM Investment Management Limited Authorised N FSA001

630094 ICM Investment Management Limited Authorised N FSA002

630271 Bluebell Capital Limited Authorised N FSA001

630271 Bluebell Capital Limited Authorised N FSA002

630422 Charterhouse GP LLP Authorised N FSA001

630422 Charterhouse GP LLP Authorised N FSA002

630532 Kintbury Capital LLP Authorised N FSA001

630532 Kintbury Capital LLP Authorised N FSA002

630761 Westray Capital Management LLP Authorised N FSA001

630761 Westray Capital Management LLP Authorised N FSA002

630801 Alva Capital LLP Authorised N FSA001

630801 Alva Capital LLP Authorised N FSA002

630810 Sealight Capital LLP Authorised N FSA001

630810 Sealight Capital LLP Authorised N FSA002

631128 Monterone Partners LLP Authorised N FSA001

631128 Monterone Partners LLP Authorised N FSA002

631382 House of Borse Ltd Authorised N FSA001

631382 House of Borse Ltd Authorised N FSA002

631384 Amakor Capital Management LLP Authorised N FSA001

631384 Amakor Capital Management LLP Authorised N FSA002

631464 Rondine Capital LLP Authorised N FSA001

631464 Rondine Capital LLP Authorised N FSA002

631780 Altaone Capital LLP Authorised N FSA001

631780 Altaone Capital LLP Authorised N FSA002

631987 MS AMLIN INVESTMENT MANAGEMENT LIMITED Authorised N FSA001

631987 MS AMLIN INVESTMENT MANAGEMENT LIMITED Authorised N FSA002

632007 Millennium Europe Limited Authorised N FSA001

632007 Millennium Europe Limited Authorised N FSA002

632048 Igloo Investment Management Limited Authorised N FSA001

632048 Igloo Investment Management Limited Authorised N FSA002

646917 Marshall Sterling Investment Management Limited Authorised N FSA001

646917 Marshall Sterling Investment Management Limited Authorised N FSA002

646952 Aalto Invest UK Ltd Authorised N FSA001

646952 Aalto Invest UK Ltd Authorised N FSA002

647003 GP Bullhound Asset Management Limited Authorised N FSA001

647003 GP Bullhound Asset Management Limited Authorised N FSA002

647066 Fincorp Capital Limited Authorised N FSA001

647066 Fincorp Capital Limited Authorised N FSA002

647067 Cove Investment Partners LLP Authorised N FSA001

647067 Cove Investment Partners LLP Authorised N FSA002

647131 Parvus Asset Management Europe Limited Authorised N FSA001

647131 Parvus Asset Management Europe Limited Authorised N FSA002

647919 Tikehau Capital Europe Limited Authorised N FSA001

647919 Tikehau Capital Europe Limited Authorised N FSA002

647928 Praxis Capital Limited Authorised N FSA001

647928 Praxis Capital Limited Authorised N FSA002

648104 Alkebulan Ltd Authorised N FSA001

648104 Alkebulan Ltd Authorised N FSA002

648953 G10 Capital Limited Authorised N FSA001

648953 G10 Capital Limited Authorised N FSA002

649832 Woodhill Asset Management LLP Authorised N FSA001

649832 Woodhill Asset Management LLP Authorised N FSA002

649868 Agricultural Asset Management Limited Authorised N FSA001

649868 Agricultural Asset Management Limited Authorised N FSA002

Page 93: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

649872 Antin Infrastructure Partners UK Limited Authorised N FSA001

649872 Antin Infrastructure Partners UK Limited Authorised N FSA002

650052 Panning UK LLP Authorised N FSA001

650052 Panning UK LLP Authorised N FSA002

650205 Crowdcube Capital Limited Authorised N FSA001

650205 Crowdcube Capital Limited Authorised N FSA002

650207 MW Eaglewood Europe LLP Authorised N FSA001

650207 MW Eaglewood Europe LLP Authorised N FSA002

650245 Avellemy Limited Authorised N FSA001

650245 Avellemy Limited Authorised N FSA002

650279 Partners Group (UK) Management Limited Authorised N FSA001

650279 Partners Group (UK) Management Limited Authorised N FSA002

650303 Neural Capital Limited Authorised N FSA001

650303 Neural Capital Limited Authorised N FSA002

651053 Aurelius Capital Management (UK), LLP Authorised N FSA001

651053 Aurelius Capital Management (UK), LLP Authorised N FSA002

651385 Envent Capital Markets Limited Authorised N FSA001

651385 Envent Capital Markets Limited Authorised N FSA002

652114 Pilling & Co Stockbrokers Ltd Authorised N FSA001

652114 Pilling & Co Stockbrokers Ltd Authorised N FSA002

652631 UP Investments Limited Authorised N FSA001

652631 UP Investments Limited Authorised N FSA002

652760 Langham Hall UK Depositary LLP Authorised N FSA001

652760 Langham Hall UK Depositary LLP Authorised N FSA002

653541 Patronus Partners Limited Authorised N FSA001

653541 Patronus Partners Limited Authorised N FSA002

653546 Goldlake Capital Ltd Authorised N FSA001

653546 Goldlake Capital Ltd Authorised N FSA002

653661 Novia Global Limited Authorised N FSA001

653661 Novia Global Limited Authorised N FSA002

653770 Square Global Ltd Authorised N FSA001

653770 Square Global Ltd Authorised N FSA002

653913 FS First Solutions Limited Authorised N FSA001

653913 FS First Solutions Limited Authorised N FSA002

654169 Chorus Capital Management Limited Authorised N FSA001

654169 Chorus Capital Management Limited Authorised N FSA002

654340 Harvest Global Investments (UK) Limited Authorised N FSA001

654340 Harvest Global Investments (UK) Limited Authorised N FSA002

655080 Gemcorp Capital LLP Authorised N FSA001

655080 Gemcorp Capital LLP Authorised N FSA002

655226 HD Capital Partners Limited Authorised N FSA001

655226 HD Capital Partners Limited Authorised N FSA002

655767 Jackdaw Capital Management Limited Authorised N FSA001

655767 Jackdaw Capital Management Limited Authorised N FSA002

656427 Smart Currency Options Limited Authorised N FSA001

656427 Smart Currency Options Limited Authorised N FSA002

656789 Kin Capital Partners LLP Authorised N FSA001

656789 Kin Capital Partners LLP Authorised N FSA002

656812 Sounion Capital Management UK Limited Authorised N FSA001

656812 Sounion Capital Management UK Limited Authorised N FSA002

656938 Specialised Research (UK) Limited Authorised N FSA001

656938 Specialised Research (UK) Limited Authorised N FSA002

657261 ETFmatic Limited Authorised N FSA001

657261 ETFmatic Limited Authorised N FSA002

657266 Manikay Partners UK LLP Authorised N FSA001

657266 Manikay Partners UK LLP Authorised N FSA002

657309 Sandglass Capital Advisors (UK) Limited Authorised N FSA001

657309 Sandglass Capital Advisors (UK) Limited Authorised N FSA002

Page 94: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

657314 ESO Capital Partners UK LLP Authorised N FSA001

657314 ESO Capital Partners UK LLP Authorised N FSA002

657543 Circuitus Capital LLP Authorised N FSA001

657543 Circuitus Capital LLP Authorised N FSA002

658030 Affirmative Investment Management Partners Limited Authorised N FSA001

658030 Affirmative Investment Management Partners Limited Authorised N FSA002

659611 Anavio Capital Partners LLP Authorised N FSA001

659611 Anavio Capital Partners LLP Authorised N FSA002

660296 Triple AM LLP Authorised N FSA001

660296 Triple AM LLP Authorised N FSA002

660818 Sound Point Capital Management UK LLP Authorised N FSA001

660818 Sound Point Capital Management UK LLP Authorised N FSA002

660915 Odd Asset Management Ltd Authorised N FSA001

660915 Odd Asset Management Ltd Authorised N FSA002

661884 Zion Capital Limited Authorised N FSA001

661884 Zion Capital Limited Authorised N FSA002

662530 Wealthify Limited Authorised N FSA001

662530 Wealthify Limited Authorised N FSA002

662929 CMB Wealth Management Limited Authorised N FSA001

662929 CMB Wealth Management Limited Authorised N FSA002

663017 Sturgeon Alternatives Limited Authorised N FSA001

663017 Sturgeon Alternatives Limited Authorised N FSA002

663285 Alvento Capital Partners LLP Authorised N FSA001

663285 Alvento Capital Partners LLP Authorised N FSA002

663289 EDL Capital (UK) Ltd Authorised N FSA001

663289 EDL Capital (UK) Ltd Authorised N FSA002

663291 Dynamic Capital Management (UK) Limited Authorised N FSA001

663291 Dynamic Capital Management (UK) Limited Authorised N FSA002

663296 Telamon Capital LLP Authorised N FSA001

663296 Telamon Capital LLP Authorised N FSA002

663333 Elm Partners Management (UK) Ltd Authorised N FSA001

663333 Elm Partners Management (UK) Ltd Authorised N FSA002

663344 Quercus Investment Partners Limited Authorised N FSA001

663344 Quercus Investment Partners Limited Authorised N FSA002

664197 iBondis Ltd Authorised N FSA001

664197 iBondis Ltd Authorised N FSA002

665037 Agenda Invest Ltd Authorised N FSA001

665037 Agenda Invest Ltd Authorised N FSA002

665051 Hurley Partners Limited Authorised N FSA001

665051 Hurley Partners Limited Authorised N FSA002

665651 INFM LLP Authorised N FSA001

665651 INFM LLP Authorised N FSA002

665654 Wimmer Family Office Ltd Authorised N FSA001

665654 Wimmer Family Office Ltd Authorised N FSA002

665773 Inverewe Capital London Limited Authorised N FSA001

665773 Inverewe Capital London Limited Authorised N FSA002

666766 Syz Asset Management (Europe) Limited Authorised N FSA001

666766 Syz Asset Management (Europe) Limited Authorised N FSA002

667904 GTS Securities Europe Ltd Authorised N FSA001

667904 GTS Securities Europe Ltd Authorised N FSA002

668069 Brick Lane Capital Management Limited Authorised N FSA001

668069 Brick Lane Capital Management Limited Authorised N FSA002

668118 Venture Commodities Partners LLP Authorised N FSA001

668118 Venture Commodities Partners LLP Authorised N FSA002

669243 PK Wealth Limited Authorised N FSA001

669243 PK Wealth Limited Authorised N FSA002

669641 Addvision Wealth Management Limited Authorised N FSA001

669641 Addvision Wealth Management Limited Authorised N FSA002

Page 95: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

669678 Advance Global Capital Ltd Authorised N FSA001

669678 Advance Global Capital Ltd Authorised N FSA002

670081 Ark Wealth Ltd Authorised N FSA001

670081 Ark Wealth Ltd Authorised N FSA002

670181 Florin Court Capital LLP Authorised N FSA001

670181 Florin Court Capital LLP Authorised N FSA002

670184 TIML Limited Authorised N FSA001

670184 TIML Limited Authorised N FSA002

670857 Turtle Capital Limited Authorised N FSA001

670857 Turtle Capital Limited Authorised N FSA002

670881 Knox Capital Company Ltd Authorised N FSA001

670881 Knox Capital Company Ltd Authorised N FSA002

671108 Infinity International Limited Authorised N FSA001

671108 Infinity International Limited Authorised N FSA002

671867 MCS Markets Ltd Authorised N FSA001

671867 MCS Markets Ltd Authorised N FSA002

672022 Flying Colours Finance Ltd Authorised N FSA001

672022 Flying Colours Finance Ltd Authorised N FSA002

672181 M & L Capital Management Limited Authorised N FSA001

672181 M & L Capital Management Limited Authorised N FSA002

672532 Scalable Capital Limited Authorised N FSA001

672532 Scalable Capital Limited Authorised N FSA002

673552 Falcon Investment Management Ltd Authorised N FSA001

673552 Falcon Investment Management Ltd Authorised N FSA002

674205 FSG Ltd Authorised N FSA001

674205 FSG Ltd Authorised N FSA002

674693 BRITISH PEARL LIMITED Authorised N FSA001

674693 BRITISH PEARL LIMITED Authorised N FSA002

676509 Posco Capital Partners PLC Authorised N FSA001

676509 Posco Capital Partners PLC Authorised N FSA002

676513 SVGC Managers Limited Authorised N FSA001

676513 SVGC Managers Limited Authorised N FSA002

676878 Scorpeo UK Ltd Authorised N FSA001

676878 Scorpeo UK Ltd Authorised N FSA002

677055 Artorius Wealth Management Limited Authorised N FSA001

677055 Artorius Wealth Management Limited Authorised N FSA002

677177 MV Credit Partners LLP Authorised N FSA001

677177 MV Credit Partners LLP Authorised N FSA002

677228 Melqart Asset Management (UK) Limited Authorised N FSA001

677228 Melqart Asset Management (UK) Limited Authorised N FSA002

677317 Greenvale Capital LLP Authorised N FSA001

677317 Greenvale Capital LLP Authorised N FSA002

677530 Global Market Index Limited Authorised N FSA001

677530 Global Market Index Limited Authorised N FSA002

677923 Tower House Partners LLP Authorised N FSA001

677923 Tower House Partners LLP Authorised N FSA002

678552 Everett Capital Advisors UK LLP Authorised N FSA001

678552 Everett Capital Advisors UK LLP Authorised N FSA002

678564 Gullwing Capital Advisers Ltd Authorised N FSA001

678564 Gullwing Capital Advisers Ltd Authorised N FSA002

678985 The London Trading Company (UK) Plc Authorised N FSA001

678985 The London Trading Company (UK) Plc Authorised N FSA002

679041 Dromeus Capital Management (UK) Limited Authorised N FSA001

679041 Dromeus Capital Management (UK) Limited Authorised N FSA002

679298 Sentient Capital London Limited Authorised N FSA001

679298 Sentient Capital London Limited Authorised N FSA002

679331 Cortland Capital Market Services Limited Authorised N FSA001

679331 Cortland Capital Market Services Limited Authorised N FSA002

Page 96: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

679721 Rokos Capital Management LLP Authorised N FSA001

679721 Rokos Capital Management LLP Authorised N FSA002

679941 Mercor Index Limited Authorised N FSA001

679941 Mercor Index Limited Authorised N FSA002

681329 Norvik Banka UK Limited Authorised N FSA001

681329 Norvik Banka UK Limited Authorised N FSA002

681412 Continuo Ltd Authorised N FSA001

681412 Continuo Ltd Authorised N FSA002

681726 Profision Shipping Capital Management Limited Authorised N FSA001

681726 Profision Shipping Capital Management Limited Authorised N FSA002

681736 SW7 Asset Management (UK) LLP Authorised N FSA001

681736 SW7 Asset Management (UK) LLP Authorised N FSA002

682776 Gresham House Asset Management Limited Authorised N FSA001

682776 Gresham House Asset Management Limited Authorised N FSA002

683281 Blackbrook Asset Management Limited Authorised N FSA001

683281 Blackbrook Asset Management Limited Authorised N FSA002

684312 Pepperstone Limited Authorised N FSA001

684312 Pepperstone Limited Authorised N FSA002

684385 Tramontana Asset Management Limited Authorised N FSA001

684385 Tramontana Asset Management Limited Authorised N FSA002

684904 Winterbrook Capital Limited Authorised N FSA001

684904 Winterbrook Capital Limited Authorised N FSA002

684908 Tandem Money Limited Authorised N FSA001

684908 Tandem Money Limited Authorised N FSA002

684923 TCI FUND MANAGEMENT LIMITED Authorised N FSA001

684923 TCI FUND MANAGEMENT LIMITED Authorised N FSA002

685262 Symvan Capital Limited Authorised N FSA001

685262 Symvan Capital Limited Authorised N FSA002

685437 Boston Partners (UK) Limited Authorised N FSA001

685437 Boston Partners (UK) Limited Authorised N FSA002

685992 Vestd Ltd Authorised N FSA001

685992 Vestd Ltd Authorised N FSA002

686230 Verno Capital UK LLP Authorised N FSA001

686230 Verno Capital UK LLP Authorised N FSA002

687552 Arqaam Capital UK Investment Management Limited Authorised N FSA001

687552 Arqaam Capital UK Investment Management Limited Authorised N FSA002

687576 Blackwell Global Investments (UK) Limited Authorised N FSA001

687576 Blackwell Global Investments (UK) Limited Authorised N FSA002

687589 Keys Investment Management Plc Authorised N FSA001

687589 Keys Investment Management Plc Authorised N FSA002

688182 JAR Capital Limited Authorised N FSA001

688182 JAR Capital Limited Authorised N FSA002

688456 Black Pearl Securities Limited Authorised N FSA001

688456 Black Pearl Securities Limited Authorised N FSA002

688638 W4I Investment Advisory Limited Authorised N FSA001

688638 W4I Investment Advisory Limited Authorised N FSA002

688829 Gardena Capital Ltd Authorised N FSA001

688829 Gardena Capital Ltd Authorised N FSA002

688914 Kinnerton Credit Management Limited Authorised N FSA001

688914 Kinnerton Credit Management Limited Authorised N FSA002

690031 Segetia (UK) Limited Authorised N FSA001

690031 Segetia (UK) Limited Authorised N FSA002

692447 MJ Hudson Advisers Limited Authorised N FSA001

692447 MJ Hudson Advisers Limited Authorised N FSA002

692560 Oxford Portfolio Advisers Limited Authorised N FSA001

692560 Oxford Portfolio Advisers Limited Authorised N FSA002

692613 Quadrature Capital Limited Authorised N FSA001

692613 Quadrature Capital Limited Authorised N FSA002

Page 97: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

694975 Fundageo Life Asset Management Ltd Authorised N FSA001

694975 Fundageo Life Asset Management Ltd Authorised N FSA002

695481 Equitile Investments Ltd Authorised N FSA001

695481 Equitile Investments Ltd Authorised N FSA002

696151 Limerston Capital LLP Authorised N FSA001

696151 Limerston Capital LLP Authorised N FSA002

696171 Cogress Limited Authorised N FSA001

696171 Cogress Limited Authorised N FSA002

697449 HC Technologies UK, LLP Authorised N FSA001

697449 HC Technologies UK, LLP Authorised N FSA002

697722 Vendian Investment Management LLP Authorised N FSA001

697722 Vendian Investment Management LLP Authorised N FSA002

697723 Rye Bay Capital LLP Authorised N FSA001

697723 Rye Bay Capital LLP Authorised N FSA002

697866 IBOSS Asset Management Limited Authorised N FSA001

697866 IBOSS Asset Management Limited Authorised N FSA002

698270 TriSpan LLP Authorised N FSA001

698270 TriSpan LLP Authorised N FSA002

698290 CdR Capital Ltd Authorised N FSA001

698290 CdR Capital Ltd Authorised N FSA002

698380 Hilbert Investment Solutions Ltd Authorised N FSA001

698380 Hilbert Investment Solutions Ltd Authorised N FSA002

702747 Rhodium Capital Management (UK) Ltd Authorised N FSA001

702747 Rhodium Capital Management (UK) Ltd Authorised N FSA002

702813 Petrus Advisers Limited Authorised N FSA001

702813 Petrus Advisers Limited Authorised N FSA002

702851 Modern Capital Group Limited Authorised N FSA001

702851 Modern Capital Group Limited Authorised N FSA002

704445 Plurimi Investment Managers LLP Authorised N FSA001

704445 Plurimi Investment Managers LLP Authorised N FSA002

705062 Coram Asset Management Ltd Authorised N FSA001

705062 Coram Asset Management Ltd Authorised N FSA002

705149 Portsea Asset Management LLP Authorised N FSA001

705149 Portsea Asset Management LLP Authorised N FSA002

705428 Trading Point of Financial Instruments UK Limited Authorised N FSA001

705428 Trading Point of Financial Instruments UK Limited Authorised N FSA002

705601 Calibrate Management Ltd Authorised N FSA001

705601 Calibrate Management Ltd Authorised N FSA002

705865 Mantor (UK) Limited Authorised N FSA001

705865 Mantor (UK) Limited Authorised N FSA002

706086 Charme Capital Partners Limited Authorised N FSA001

706086 Charme Capital Partners Limited Authorised N FSA002

706156 Transcendent Real Estate Limited Authorised N FSA001

706156 Transcendent Real Estate Limited Authorised N FSA002

706427 Principia Investment Management Limited Authorised N FSA001

706427 Principia Investment Management Limited Authorised N FSA002

706518 Clearance Capital Limited Authorised N FSA001

706518 Clearance Capital Limited Authorised N FSA002

706522 African Capital Investments Limited Authorised N FSA001

706522 African Capital Investments Limited Authorised N FSA002

706655 Ediston Investment Services Limited Authorised N FSA001

706655 Ediston Investment Services Limited Authorised N FSA002

706671 Stephens Europe Limited Authorised N FSA001

706671 Stephens Europe Limited Authorised N FSA002

706689 Clear Capital Markets Ltd Authorised N FSA001

706689 Clear Capital Markets Ltd Authorised N FSA002

706988 Netwealth Investments Limited Authorised N FSA001

706988 Netwealth Investments Limited Authorised N FSA002

Page 98: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

707019 Meketa Investments London Limited Authorised N FSA001

707019 Meketa Investments London Limited Authorised N FSA002

707467 Gear Investments (UK) Limited Authorised N FSA001

707467 Gear Investments (UK) Limited Authorised N FSA002

707832 Kestrel Investment Partners LLP Authorised N FSA001

707832 Kestrel Investment Partners LLP Authorised N FSA002

707868 Murray Asset Management UK Limited Authorised N FSA001

707868 Murray Asset Management UK Limited Authorised N FSA002

707896 Leodis Wealth Limited Authorised N FSA001

707896 Leodis Wealth Limited Authorised N FSA002

708307 London Bridge Capital Infrastructure Limited Authorised N FSA001

708307 London Bridge Capital Infrastructure Limited Authorised N FSA002

708542 Pennarth Greene & Company Limited Authorised N FSA001

708542 Pennarth Greene & Company Limited Authorised N FSA002

708666 Illiquidx Securities Limited Authorised N FSA001

708666 Illiquidx Securities Limited Authorised N FSA002

708780 Halo Investment Management LLP Authorised N FSA001

708780 Halo Investment Management LLP Authorised N FSA002

709552 Och-Ziff Europe Loan Management Limited Authorised N FSA001

709552 Och-Ziff Europe Loan Management Limited Authorised N FSA002

709652 Ironwall Capital Management LLP Authorised N FSA001

709652 Ironwall Capital Management LLP Authorised N FSA002

709654 Eisler Capital (UK) Ltd Authorised N FSA001

709654 Eisler Capital (UK) Ltd Authorised N FSA002

709689 Sarus Select Capital Ltd Authorised N FSA001

709689 Sarus Select Capital Ltd Authorised N FSA002

709691 Landy Partners Limited Authorised N FSA001

709691 Landy Partners Limited Authorised N FSA002

709693 Capital Index (UK) Ltd Authorised N FSA001

709693 Capital Index (UK) Ltd Authorised N FSA002

709710 Quay Partners Investments (UK) LLP Authorised N FSA001

709710 Quay Partners Investments (UK) LLP Authorised N FSA002

709833 Organic Investment Management Limited Authorised N FSA001

709833 Organic Investment Management Limited Authorised N FSA002

709848 Oaktree Capital Management (Europe) LLP Authorised N FSA001

709848 Oaktree Capital Management (Europe) LLP Authorised N FSA002

709866 LandFX UK Limited Authorised N FSA001

709866 LandFX UK Limited Authorised N FSA002

709896 GF International Asset Management (UK) Company Limited Authorised N FSA001

709896 GF International Asset Management (UK) Company Limited Authorised N FSA002

709904 Breae AIFM LLP Authorised N FSA001

709904 Breae AIFM LLP Authorised N FSA002

710280 Vermeer Investment Management Ltd Authorised N FSA001

710280 Vermeer Investment Management Ltd Authorised N FSA002

710328 Killik Intelligent Savings Limited Authorised N FSA001

710328 Killik Intelligent Savings Limited Authorised N FSA002

710356 Roxbury Asset Management Ltd Authorised N FSA001

710356 Roxbury Asset Management Ltd Authorised N FSA002

710579 Empiric Managed Capital Advisors Limited Authorised N FSA001

710579 Empiric Managed Capital Advisors Limited Authorised N FSA002

710808 Hamilton Venture Capital Ltd. Authorised N FSA001

710808 Hamilton Venture Capital Ltd. Authorised N FSA002

711176 Pemcap Advisory LLP Authorised N FSA001

711176 Pemcap Advisory LLP Authorised N FSA002

711305 Hopton Advisers LLP Authorised N FSA001

711305 Hopton Advisers LLP Authorised N FSA002

711717 Southey Capital Ltd Authorised N FSA001

711717 Southey Capital Ltd Authorised N FSA002

Page 99: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

711718 Frank Consulting Ltd Authorised N FSA001

711718 Frank Consulting Ltd Authorised N FSA002

711723 Investment Managers Square Limited Authorised N FSA001

711723 Investment Managers Square Limited Authorised N FSA002

711785 Bohler Asset Management Limited Authorised N FSA001

711785 Bohler Asset Management Limited Authorised N FSA002

711945 XTX Markets Limited Authorised N FSA001

711945 XTX Markets Limited Authorised N FSA002

712082 Elos (UK) Limited Authorised N FSA001

712082 Elos (UK) Limited Authorised N FSA002

712095 London Management Group Limited Authorised N FSA001

712095 London Management Group Limited Authorised N FSA002

712130 Naya Capital Management UK Limited Authorised N FSA001

712130 Naya Capital Management UK Limited Authorised N FSA002

712156 Ambrosia Capital Ltd Authorised N FSA001

712156 Ambrosia Capital Ltd Authorised N FSA002

713192 myKeep Limited Authorised N FSA001

713192 myKeep Limited Authorised N FSA002

713361 Purple Strategic Capital Limited Authorised N FSA001

713361 Purple Strategic Capital Limited Authorised N FSA002

713367 Credere Capital LLP Authorised N FSA001

713367 Credere Capital LLP Authorised N FSA002

713390 Widecast Capital LLP Authorised N FSA001

713390 Widecast Capital LLP Authorised N FSA002

713395 Copper Street Capital LLP Authorised N FSA001

713395 Copper Street Capital LLP Authorised N FSA002

713859 Thornbridge Investment Management LLP Authorised N FSA001

713859 Thornbridge Investment Management LLP Authorised N FSA002

713915 Dundee Securities Europe Limited Authorised N FSA001

713915 Dundee Securities Europe Limited Authorised N FSA002

713923 DSAM Partners (London) Ltd Authorised N FSA001

713923 DSAM Partners (London) Ltd Authorised N FSA002

714242 Nuovo Capital LLP Authorised N FSA001

714242 Nuovo Capital LLP Authorised N FSA002

714282 Armira Capital Limited Authorised N FSA001

714282 Armira Capital Limited Authorised N FSA002

714310 Palm Management (UK) LLP Authorised N FSA001

714310 Palm Management (UK) LLP Authorised N FSA002

714429 MVN Asset Management Limited Authorised N FSA001

714429 MVN Asset Management Limited Authorised N FSA002

714455 Highgate Capital Management LLP Authorised N FSA001

714455 Highgate Capital Management LLP Authorised N FSA002

714756 TJM Europe LLP Authorised N FSA001

714756 TJM Europe LLP Authorised N FSA002

714870 Connell Capital Limited Authorised N FSA001

714870 Connell Capital Limited Authorised N FSA002

715071 Selwood Asset Management LLP Authorised N FSA001

715071 Selwood Asset Management LLP Authorised N FSA002

715428 Per4m Asset Management (PAM) LLP Authorised N FSA001

715428 Per4m Asset Management (PAM) LLP Authorised N FSA002

715993 Lonsin Capital Limited Authorised N FSA001

715993 Lonsin Capital Limited Authorised N FSA002

716011 Foremost Markets Ltd Authorised N FSA001

716011 Foremost Markets Ltd Authorised N FSA002

716031 Albert Bridge Capital LLP Authorised N FSA001

716031 Albert Bridge Capital LLP Authorised N FSA002

716140 Hellebore Capital Limited Authorised N FSA001

716140 Hellebore Capital Limited Authorised N FSA002

Page 100: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

716450 Signal Capital Partners LLP Authorised N FSA001

716450 Signal Capital Partners LLP Authorised N FSA002

717270 Tmill UK Limited Authorised N FSA001

717270 Tmill UK Limited Authorised N FSA002

717366 Farr MB Limited Authorised N FSA001

717366 Farr MB Limited Authorised N FSA002

717792 Glen Point Capital LLP Authorised N FSA001

717792 Glen Point Capital LLP Authorised N FSA002

717851 ASHENDEN FINANCE (UK) LIMITED Authorised N FSA001

717851 ASHENDEN FINANCE (UK) LIMITED Authorised N FSA002

717915 Third Platform Services Limited Authorised N FSA001

717915 Third Platform Services Limited Authorised N FSA002

717959 Pennine Wealth Solutions LLP Authorised N FSA001

717959 Pennine Wealth Solutions LLP Authorised N FSA002

717968 JB Equity Limited Authorised N FSA001

717968 JB Equity Limited Authorised N FSA002

718250 Gemini Asset Management Ltd Authorised N FSA001

718250 Gemini Asset Management Ltd Authorised N FSA002

718558 VAR Capital Limited Authorised N FSA001

718558 VAR Capital Limited Authorised N FSA002

719025 Pelham Global Financials Ltd Authorised N FSA001

719025 Pelham Global Financials Ltd Authorised N FSA002

719193 UK Bond Network Limited Authorised N FSA001

719193 UK Bond Network Limited Authorised N FSA002

719605 Catley Lakeman May Limited Authorised N FSA001

719605 Catley Lakeman May Limited Authorised N FSA002

720002 Edgbaston Investment Partners LLP Authorised N FSA001

720002 Edgbaston Investment Partners LLP Authorised N FSA002

720573 Jad Securities Limited Authorised N FSA001

720573 Jad Securities Limited Authorised N FSA002

720609 MeritKapital UK Limited Authorised N FSA001

720609 MeritKapital UK Limited Authorised N FSA002

720691 Carmika Partners LLP Authorised N FSA001

720691 Carmika Partners LLP Authorised N FSA002

722553 Silver Ridge Asset Management UK LLP Authorised N FSA001

722553 Silver Ridge Asset Management UK LLP Authorised N FSA002

722677 Churchill Discretionary Asset Management Ltd Authorised N FSA001

722677 Churchill Discretionary Asset Management Ltd Authorised N FSA002

722816 PillarFour Securities LLP Authorised N FSA001

722816 PillarFour Securities LLP Authorised N FSA002

722819 Low Carbon Investment Management Limited Authorised N FSA001

722819 Low Carbon Investment Management Limited Authorised N FSA002

723370 Pinyon Asset Management UK LLP Authorised N FSA001

723370 Pinyon Asset Management UK LLP Authorised N FSA002

723719 Wealthkernel Limited Authorised N FSA001

723719 Wealthkernel Limited Authorised N FSA002

724231 Gallardo Securities Limited Authorised N FSA001

724231 Gallardo Securities Limited Authorised N FSA002

724653 Local Pensions Partnership Investments Ltd Authorised N FSA001

724653 Local Pensions Partnership Investments Ltd Authorised N FSA002

724949 MarketAxess Capital Limited Authorised N FSA001

724949 MarketAxess Capital Limited Authorised N FSA002

725132 Eisenstat Capital Partners (UK) LLP Authorised N FSA001

725132 Eisenstat Capital Partners (UK) LLP Authorised N FSA002

725283 Systematica Investments Services Limited Authorised N FSA001

725283 Systematica Investments Services Limited Authorised N FSA002

725798 Credit Suisse Quantitative and Systematic Asset Management Limited Authorised N FSA001

725798 Credit Suisse Quantitative and Systematic Asset Management Limited Authorised N FSA002

Page 101: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

725804 Price Markets UK Ltd Authorised N FSA001

725804 Price Markets UK Ltd Authorised N FSA002

725992 True Capital Limited Authorised N FSA001

725992 True Capital Limited Authorised N FSA002

726035 Astra Asset Management UK Limited Authorised N FSA001

726035 Astra Asset Management UK Limited Authorised N FSA002

726137 Unbiased Financial Group LLP Authorised N FSA001

726137 Unbiased Financial Group LLP Authorised N FSA002

726221 Dimensional LLP Authorised N FSA001

726221 Dimensional LLP Authorised N FSA002

726328 Element Capital Partners LLP Authorised N FSA001

726328 Element Capital Partners LLP Authorised N FSA002

726463 True Trade Ltd Authorised N FSA001

726463 True Trade Ltd Authorised N FSA002

726859 Moola Systems Ltd Authorised N FSA001

726859 Moola Systems Ltd Authorised N FSA002

727510 FS Wealth Management Limited Authorised N FSA001

727510 FS Wealth Management Limited Authorised N FSA002

727582 Marlowe Capital Limited Authorised N FSA001

727582 Marlowe Capital Limited Authorised N FSA002

727583 Casterbridge Wealth Limited Authorised N FSA001

727583 Casterbridge Wealth Limited Authorised N FSA002

728738 Ironbright Investment Management Limited Authorised N FSA001

728738 Ironbright Investment Management Limited Authorised N FSA002

729017 Gibbs Denley Investment Management Ltd Authorised N FSA001

729017 Gibbs Denley Investment Management Ltd Authorised N FSA002

729310 Antarctica Asset Management (Europe) Limited Authorised N FSA001

729310 Antarctica Asset Management (Europe) Limited Authorised N FSA002

730058 SouthernSun Asset Management (UK) Limited Authorised N FSA001

730058 SouthernSun Asset Management (UK) Limited Authorised N FSA002

730729 Exness Europe Limited Authorised N FSA001

730729 Exness Europe Limited Authorised N FSA002

730763 Thames Capital Research Limited Authorised N FSA001

730763 Thames Capital Research Limited Authorised N FSA002

730764 Atlas Square Partners LLP Authorised N FSA001

730764 Atlas Square Partners LLP Authorised N FSA002

730805 Razlin Limited Authorised N FSA001

730805 Razlin Limited Authorised N FSA002

731034 LACM GLOBAL, LTD. Authorised N FSA001

731034 LACM GLOBAL, LTD. Authorised N FSA002

731174 The Athena Capital Limited Authorised N FSA001

731174 The Athena Capital Limited Authorised N FSA002

731456 BDT & Company International, LLP Authorised N FSA001

731456 BDT & Company International, LLP Authorised N FSA002

731532 Verrazzano Capital LLP Authorised N FSA001

731532 Verrazzano Capital LLP Authorised N FSA002

732400 Houlihan Lokey EMEA LLP Authorised N FSA001

732400 Houlihan Lokey EMEA LLP Authorised N FSA002

732727 Pebrand Ltd Authorised N FSA001

732727 Pebrand Ltd Authorised N FSA002

733399 Equatex UK Limited Authorised N FSA001

733399 Equatex UK Limited Authorised N FSA002

733400 Rexigon Securities Limited Authorised N FSA001

733400 Rexigon Securities Limited Authorised N FSA002

733471 Tatton Investment Management Limited Authorised N FSA001

733471 Tatton Investment Management Limited Authorised N FSA002

733534 Macquarie Investment Management Europe Limited Authorised N FSA001

733534 Macquarie Investment Management Europe Limited Authorised N FSA002

Page 102: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

733661 Vilk Commodity Services Limited Authorised N FSA001

733661 Vilk Commodity Services Limited Authorised N FSA002

733895 Naisbitt King Asset Management Limited Authorised N FSA001

733895 Naisbitt King Asset Management Limited Authorised N FSA002

733936 D & P Advisors LLP Authorised N FSA001

733936 D & P Advisors LLP Authorised N FSA002

734607 Hehmeyer U.K Limited Authorised N FSA001

734607 Hehmeyer U.K Limited Authorised N FSA002

734676 Talarium Capital LLP Authorised N FSA001

734676 Talarium Capital LLP Authorised N FSA002

735495 Eris Group Limited Authorised N FSA001

735495 Eris Group Limited Authorised N FSA002

735530 Sonoma Partners Limited Authorised N FSA001

735530 Sonoma Partners Limited Authorised N FSA002

735701 Atenvia Asset Management LLP Authorised N FSA001

735701 Atenvia Asset Management LLP Authorised N FSA002

735817 Fierro Capital Management LLP Authorised N FSA001

735817 Fierro Capital Management LLP Authorised N FSA002

735887 Caius Capital LLP Authorised N FSA001

735887 Caius Capital LLP Authorised N FSA002

735908 Cape Ann Asset Management Limited Authorised N FSA001

735908 Cape Ann Asset Management Limited Authorised N FSA002

736284 SFC Capital Partners Ltd Authorised N FSA001

736284 SFC Capital Partners Ltd Authorised N FSA002

736460 Barnwald Limited Authorised N FSA001

736460 Barnwald Limited Authorised N FSA002

736469 Sempera Partners LLP Authorised N FSA001

736469 Sempera Partners LLP Authorised N FSA002

736817 Aztec Risk Management (UK) Limited Authorised N FSA001

736817 Aztec Risk Management (UK) Limited Authorised N FSA002

736926 Eurizon SLJ Capital Limited Authorised N FSA001

736926 Eurizon SLJ Capital Limited Authorised N FSA002

737130 Broad Reach Investment Management LLP Authorised N FSA001

737130 Broad Reach Investment Management LLP Authorised N FSA002

737180 SPX International Asset Management Limited Authorised N FSA001

737180 SPX International Asset Management Limited Authorised N FSA002

737356 Embark Investment Services Limited Authorised N FSA001

737356 Embark Investment Services Limited Authorised N FSA002

737512 GWM Asset Management Limited Authorised N FSA001

737512 GWM Asset Management Limited Authorised N FSA002

737644 BrickVest IM Ltd Authorised N FSA001

737644 BrickVest IM Ltd Authorised N FSA002

737906 Ares European Loan Management LLP Authorised N FSA001

737906 Ares European Loan Management LLP Authorised N FSA002

738066 Rice Dairy International Limited Authorised N FSA001

738066 Rice Dairy International Limited Authorised N FSA002

738512 Blackadders Wealth Management LLP Authorised N FSA001

738512 Blackadders Wealth Management LLP Authorised N FSA002

738538 LiveMarkets Ltd Authorised N FSA001

738538 LiveMarkets Ltd Authorised N FSA002

738746 Spring River Asset Management Limited Authorised N FSA001

738746 Spring River Asset Management Limited Authorised N FSA002

739104 Turner Pope Investments (TPI) Limited Authorised N FSA001

739104 Turner Pope Investments (TPI) Limited Authorised N FSA002

739214 Saveable Limited Authorised N FSA001

739214 Saveable Limited Authorised N FSA002

739250 James Stocks & Co Limited Authorised N FSA001

739250 James Stocks & Co Limited Authorised N FSA002

Page 103: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

739412 Lodbrok Capital LLP Authorised N FSA001

739412 Lodbrok Capital LLP Authorised N FSA002

739413 Horizon (GP) Limited Authorised N FSA001

739413 Horizon (GP) Limited Authorised N FSA002

739481 G Squared Capital LLP Authorised N FSA001

739481 G Squared Capital LLP Authorised N FSA002

739550 KNG Securities Fixed Income LLP Authorised N FSA001

739550 KNG Securities Fixed Income LLP Authorised N FSA002

739845 Dropet Brokers Limited Authorised N FSA001

739845 Dropet Brokers Limited Authorised N FSA002

739949 Destek Markets UK Limited Authorised N FSA001

739949 Destek Markets UK Limited Authorised N FSA002

740003 CVC Credit Partners European CLO Management LLP Authorised N FSA001

740003 CVC Credit Partners European CLO Management LLP Authorised N FSA002

740115 Earlyworld Capital Limited Authorised N FSA001

740115 Earlyworld Capital Limited Authorised N FSA002

740528 Progeny Asset Management Ltd Authorised N FSA001

740528 Progeny Asset Management Ltd Authorised N FSA002

741031 RX Securities Limited Authorised N FSA001

741031 RX Securities Limited Authorised N FSA002

741147 Waterfall Asset Management (UK) LLP Authorised N FSA001

741147 Waterfall Asset Management (UK) LLP Authorised N FSA002

741471 AustralianSuper (UK) Limited Authorised N FSA001

741471 AustralianSuper (UK) Limited Authorised N FSA002

742022 GL Asset Management UK Limited Authorised N FSA001

742022 GL Asset Management UK Limited Authorised N FSA002

742037 Arion Investment Management Limited Authorised N FSA001

742037 Arion Investment Management Limited Authorised N FSA002

742256 Edelweiss Financial Services (UK) Limited Authorised N FSA001

742256 Edelweiss Financial Services (UK) Limited Authorised N FSA002

742559 Sulla Investments Ltd Authorised N FSA001

742559 Sulla Investments Ltd Authorised N FSA002

743359 Trident Brokerage Services Ltd Authorised N FSA001

743359 Trident Brokerage Services Ltd Authorised N FSA002

743547 PETRICCA & CO CAPITAL LTD Authorised N FSA001

743547 PETRICCA & CO CAPITAL LTD Authorised N FSA002

743550 Queensgate Investments Management Limited Authorised N FSA001

743550 Queensgate Investments Management Limited Authorised N FSA002

743635 Langport Capital Limited Authorised N FSA001

743635 Langport Capital Limited Authorised N FSA002

744446 Cirdan Capital Management Ltd Authorised N FSA001

744446 Cirdan Capital Management Ltd Authorised N FSA002

744492 Synthesis Management Limited Authorised N FSA001

744492 Synthesis Management Limited Authorised N FSA002

744501 Global Markets Group Limited Authorised N FSA001

744501 Global Markets Group Limited Authorised N FSA002

744521 FGB Wealth Management Limited Authorised N FSA001

744521 FGB Wealth Management Limited Authorised N FSA002

744928 Amram Capital (UK) LLP Authorised N FSA001

744928 Amram Capital (UK) LLP Authorised N FSA002

744943 DRS Markets Limited Authorised N FSA001

744943 DRS Markets Limited Authorised N FSA002

745318 Apollo Investment Management Europe LLP Authorised N FSA001

745318 Apollo Investment Management Europe LLP Authorised N FSA002

745433 Woodford Investment Management Limited Authorised N FSA001

745433 Woodford Investment Management Limited Authorised N FSA002

745797 XP Securities UK LLP Authorised N FSA001

745797 XP Securities UK LLP Authorised N FSA002

Page 104: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

745864 Sabal Financial Europe Limited Authorised N FSA001

745864 Sabal Financial Europe Limited Authorised N FSA002

746005 Half Sky Capital (UK) Limited Authorised N FSA001

746005 Half Sky Capital (UK) Limited Authorised N FSA002

746018 Langham Hall Fund Management LLP Authorised N FSA001

746018 Langham Hall Fund Management LLP Authorised N FSA002

746273 Gair Loch Enterprises Ltd Authorised N FSA001

746273 Gair Loch Enterprises Ltd Authorised N FSA002

747019 OSMO Partners LLP Authorised N FSA001

747019 OSMO Partners LLP Authorised N FSA002

747038 Bateson Asset Management Limited Authorised N FSA001

747038 Bateson Asset Management Limited Authorised N FSA002

747133 TigerRisk Capital Markets & Advisory (UK) Limited Authorised N FSA001

747133 TigerRisk Capital Markets & Advisory (UK) Limited Authorised N FSA002

747157 Hellier Capital Limited Authorised N FSA001

747157 Hellier Capital Limited Authorised N FSA002

747254 Phanar Asset Management (UK) Limited Authorised N FSA001

747254 Phanar Asset Management (UK) Limited Authorised N FSA002

747744 Lovina Capital Limited Authorised N FSA001

747744 Lovina Capital Limited Authorised N FSA002

747882 Promeritum Investment Management LLP Authorised N FSA001

747882 Promeritum Investment Management LLP Authorised N FSA002

747887 Maia Asset Management Limited Authorised N FSA001

747887 Maia Asset Management Limited Authorised N FSA002

748161 Finhub Technologies Limited Authorised N FSA001

748161 Finhub Technologies Limited Authorised N FSA002

748414 Capricorn Capital Partners UK Limited Authorised N FSA001

748414 Capricorn Capital Partners UK Limited Authorised N FSA002

748424 Brigade Capital Europe Management LLP Authorised N FSA001

748424 Brigade Capital Europe Management LLP Authorised N FSA002

748804 EISER Finance Limited Authorised N FSA001

748804 EISER Finance Limited Authorised N FSA002

749342 Cadogan Asset Management Limited Authorised N FSA001

749342 Cadogan Asset Management Limited Authorised N FSA002

749440 Causeway Securities Limited Authorised N FSA001

749440 Causeway Securities Limited Authorised N FSA002

749577 Architas Advisory Services Limited Authorised N FSA001

749577 Architas Advisory Services Limited Authorised N FSA002

749884 RXI Wealth Ltd Authorised N FSA001

749884 RXI Wealth Ltd Authorised N FSA002

750788 Ekins Guinness LLP Authorised N FSA001

750788 Ekins Guinness LLP Authorised N FSA002

751019 Mahi FX (UK) Ltd Authorised N FSA001

751019 Mahi FX (UK) Ltd Authorised N FSA002

751087 WiseAlpha Technologies Limited Authorised N FSA001

751087 WiseAlpha Technologies Limited Authorised N FSA002

751355 LJ Administration (UK) Limited Authorised N FSA001

751355 LJ Administration (UK) Limited Authorised N FSA002

751522 Westbeck Capital Management LLP Authorised N FSA001

751522 Westbeck Capital Management LLP Authorised N FSA002

752000 FinEx Investment Management LLP Authorised N FSA001

752000 FinEx Investment Management LLP Authorised N FSA002

752005 P1 Investment Management Limited Authorised N FSA001

752005 P1 Investment Management Limited Authorised N FSA002

752011 Portland Hill Asset Management Limited Authorised N FSA001

752011 Portland Hill Asset Management Limited Authorised N FSA002

752141 MAC Asset Management Limited Authorised N FSA001

752141 MAC Asset Management Limited Authorised N FSA002

Page 105: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

752633 Kuvari Partners LLP Authorised N FSA001

752633 Kuvari Partners LLP Authorised N FSA002

752696 STAR Capital Partnership LLP Authorised N FSA001

752696 STAR Capital Partnership LLP Authorised N FSA002

752921 Engineers Gate Manager UK LLP Authorised N FSA001

752921 Engineers Gate Manager UK LLP Authorised N FSA002

753435 BellRock Securities Limited Authorised N FSA001

753435 BellRock Securities Limited Authorised N FSA002

753548 Brait Advisory Services UK Limited Authorised N FSA001

753548 Brait Advisory Services UK Limited Authorised N FSA002

753690 Niten Capital Management Limited Authorised N FSA001

753690 Niten Capital Management Limited Authorised N FSA002

753786 Monsas Limited Authorised N FSA001

753786 Monsas Limited Authorised N FSA002

754244 Valeur Capital Limited Authorised N FSA001

754244 Valeur Capital Limited Authorised N FSA002

754560 Squared Limited Authorised N FSA001

754560 Squared Limited Authorised N FSA002

754570 Intelligent Wealth Fund Managers Limited Authorised N FSA001

754570 Intelligent Wealth Fund Managers Limited Authorised N FSA002

754580 Portafina Investment Management Limited Authorised N FSA001

754580 Portafina Investment Management Limited Authorised N FSA002

755022 Crestline Europe, LLP Authorised N FSA001

755022 Crestline Europe, LLP Authorised N FSA002

755308 EXOR Investments (UK) LLP Authorised N FSA001

755308 EXOR Investments (UK) LLP Authorised N FSA002

755370 Fortem Capital Limited Authorised N FSA001

755370 Fortem Capital Limited Authorised N FSA002

755396 Cross Ocean Adviser LLP Authorised N FSA001

755396 Cross Ocean Adviser LLP Authorised N FSA002

755398 EMK Capital LLP Authorised N FSA001

755398 EMK Capital LLP Authorised N FSA002

755580 Standard Life Investments (Private Capital) Limited Authorised N FSA001

755580 Standard Life Investments (Private Capital) Limited Authorised N FSA002

755617 HPS Investment Partners CLO (UK) LLP Authorised N FSA001

755617 HPS Investment Partners CLO (UK) LLP Authorised N FSA002

755831 Openwork Wealth Services Limited Authorised N FSA001

755831 Openwork Wealth Services Limited Authorised N FSA002

755971 Algebris (UK) Limited Authorised N FSA001

755971 Algebris (UK) Limited Authorised N FSA002

756104 Incipit Capital Partners LLP Authorised N FSA001

756104 Incipit Capital Partners LLP Authorised N FSA002

756192 Alph Capital Limited Authorised N FSA001

756192 Alph Capital Limited Authorised N FSA002

756360 IFSL Administration Limited Authorised N FSA001

756360 IFSL Administration Limited Authorised N FSA002

756411 Tribe Impact Capital LLP Authorised N FSA001

756411 Tribe Impact Capital LLP Authorised N FSA002

756518 Engadine Partners LLP Authorised N FSA001

756518 Engadine Partners LLP Authorised N FSA002

756533 Frere Hall Capital Management Limited Authorised N FSA001

756533 Frere Hall Capital Management Limited Authorised N FSA002

756838 Alta Semper Capital LLP Authorised N FSA001

756838 Alta Semper Capital LLP Authorised N FSA002

756931 Amergeris Global Markets (UK) Ltd Authorised N FSA001

756931 Amergeris Global Markets (UK) Ltd Authorised N FSA002

757727 Peregrine & Black Investment Management Limited Authorised N FSA001

757727 Peregrine & Black Investment Management Limited Authorised N FSA002

Page 106: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

757816 WILLU Ltd Authorised N FSA001

757816 WILLU Ltd Authorised N FSA002

757895 Crypto Facilities Ltd Authorised N FSA001

757895 Crypto Facilities Ltd Authorised N FSA002

758025 Provenance Technologies Ltd Authorised N FSA001

758025 Provenance Technologies Ltd Authorised N FSA002

758465 LIFT-Invest plc Authorised N FSA001

758465 LIFT-Invest plc Authorised N FSA002

759159 Agilis Investment Management LLP Authorised N FSA001

759159 Agilis Investment Management LLP Authorised N FSA002

759206 SKDhonsi Limited Authorised N FSA001

759206 SKDhonsi Limited Authorised N FSA002

760840 Capital Financial Markets Limited Authorised N FSA001

760840 Capital Financial Markets Limited Authorised N FSA002

760865 Clermont Asset Management Ltd. Authorised N FSA001

760865 Clermont Asset Management Ltd. Authorised N FSA002

760924 Coalface UK Ltd Authorised N FSA001

760924 Coalface UK Ltd Authorised N FSA002

762066 Mirabaud Securities Holdings Limited Authorised N FSA001

762066 Mirabaud Securities Holdings Limited Authorised N FSA002

762227 Bridges Fund Management Limited Authorised N FSA001

762227 Bridges Fund Management Limited Authorised N FSA002

762758 Smaller Company Capital Limited Authorised N FSA001

762758 Smaller Company Capital Limited Authorised N FSA002

763601 Saranac Partners Limited Authorised N FSA001

763601 Saranac Partners Limited Authorised N FSA002

763725 Temporis Capital Limited Authorised N FSA001

763725 Temporis Capital Limited Authorised N FSA002

763979 EMFI Securities Limited Authorised N FSA001

763979 EMFI Securities Limited Authorised N FSA002

764167 Tide Capital Markets Ltd Authorised N FSA001

764167 Tide Capital Markets Ltd Authorised N FSA002

765318 Steadview Capital UK LLP Authorised N FSA001

765318 Steadview Capital UK LLP Authorised N FSA002

765603 City & Continental Ltd Authorised N FSA001

765603 City & Continental Ltd Authorised N FSA002

765847 Delft Investments LLP Authorised N FSA001

765847 Delft Investments LLP Authorised N FSA002

766138 KAM Portfolio Management Ltd Authorised N FSA001

766138 KAM Portfolio Management Ltd Authorised N FSA002

766288 Amia Capital LLP Authorised N FSA001

766288 Amia Capital LLP Authorised N FSA002

766464 Trust One Financial Services Limited Authorised N FSA001

766464 Trust One Financial Services Limited Authorised N FSA002

766508 Teviot Partners LLP Authorised N FSA001

766508 Teviot Partners LLP Authorised N FSA002

766642 Mayfair Capital Limited Authorised N FSA001

766642 Mayfair Capital Limited Authorised N FSA002

766786 Diagram Capital Ltd Authorised N FSA001

766786 Diagram Capital Ltd Authorised N FSA002

767373 FirstRand Securities Limited Authorised N FSA001

767373 FirstRand Securities Limited Authorised N FSA002

767844 Lutra Investments Limited Authorised N FSA001

767844 Lutra Investments Limited Authorised N FSA002

767969 J8 Capital Management LLP Authorised N FSA001

767969 J8 Capital Management LLP Authorised N FSA002

767985 EASTERN HARMONY GLOBAL CAPITAL LIMITED Authorised N FSA001

767985 EASTERN HARMONY GLOBAL CAPITAL LIMITED Authorised N FSA002

Page 107: FOI5126 - Annex A - Financial Services Authority€¦ · 119235 GAM Sterling Management Limited Authorised N FSA001 ... 119368 AXA Investment Managers UK Ltd Authorised N FSA001 ...

FOI5126 - Annex A

768167 Blue Whale Capital LLP Authorised N FSA001

768167 Blue Whale Capital LLP Authorised N FSA002

768174 Brookfield Global Infrastructure Advisor Limited Authorised N FSA001

768174 Brookfield Global Infrastructure Advisor Limited Authorised N FSA002

768269 Fund Wisdom Limited Authorised N FSA001

768269 Fund Wisdom Limited Authorised N FSA002

768275 GDO Advisors Limited Authorised N FSA001

768275 GDO Advisors Limited Authorised N FSA002

768285 Harboro Capital Limited Authorised N FSA001

768285 Harboro Capital Limited Authorised N FSA002

768977 Jefferson Capital Limited Authorised N FSA001

768977 Jefferson Capital Limited Authorised N FSA002

771484 Talomon Capital Limited Authorised N FSA001

771484 Talomon Capital Limited Authorised N FSA002

771719 Cazadores Investments Limited Authorised N FSA001

771719 Cazadores Investments Limited Authorised N FSA002

773476 Nivaura Ltd Authorised N FSA001

773476 Nivaura Ltd Authorised N FSA002