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FOI6236-Information Provided Annex A

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FOI6236-Information Provided Annex A FRN Firm Name Status (Current) Dual Regulation Indicator Data Item Code 106052 MF Global UK Limited Authorised N FSA001 FSA002 110134 CCBI METDIST GLOBAL COMMODITIES (UK) LIMITED Authorised N FSA001 FSA002 113942 Gain Capital UK Limited Authorised N FSA001 FSA002 113980 Kepler Cheuvreux UK Limited Authorised N FSA001 FSA002 114031 J.P. Morgan Markets Limited Authorised N FSA001 FSA002 114059 IG Index Limited Authorised N FSA001 FSA002 114097 Record Currency Management Limited Authorised N FSA001 FSA002 114120 R.J. O'Brien Limited Authorised N FSA001 FSA002 114159 Berkeley Futures Ltd Authorised N FSA001 FSA002 114233 Sabre Fund Management Ltd Authorised N FSA001 FSA002 114237 GF Financial Markets (UK) Limited Authorised N FSA001 FSA002 114239 Sucden Financial Limited Authorised N FSA001 FSA002 114265 Stockdale Securities Limited Authorised N FSA001 FSA002 114294 Man Investments Ltd Authorised N FSA001 FSA002 114318 Whitechurch Securities Limited Authorised N FSA001 FSA002 114324 Bordier & Cie (UK) PLC Authorised N FSA001 FSA002 114354 Thesis Asset Management Limited Authorised N FSA001 FSA002 114402 Wilfred T. Fry (Personal Financial Planning) Limited Authorised N FSA001 FSA002 114428 Maunby Investment Management Ltd Authorised N FSA001 FSA002 114432 Investment Funds Direct Limited Authorised N FSA001 FSA002 114503 Amundi (UK) Ltd Authorised N FSA001 FSA002 114563 Richmond House Investment Management Limited Authorised N FSA001 FSA002 114617 Birchwood Investment Management Limited Authorised N FSA001 FSA002 114621 IFDC Ltd Authorised N FSA001 FSA002 114627 Credit Suisse Asset Management Limited Authorised N FSA001 FSA002 114650 Lowes Financial Management Limited Authorised N FSA001 FSA002 114661 The Falcon Group Limited Authorised N FSA001 FSA002 114721 Putnam Investments Limited Authorised N FSA001 FSA002 114762 Cambridge Investments Limited Authorised N FSA001 FSA002 114952 Charteris Treasury Portfolio Managers Limited Authorised N FSA001 FSA002 115011 Arena Wealth Management Limited Authorised N FSA001 FSA002 115020 Lacomp Plc Authorised N FSA001 FSA002 115057 Buck Consultants (Administration & Investment) Limited Authorised N FSA001 FSA002 115126 Daiwa SB Investments (UK) Ltd Authorised N FSA001 FSA002 115231 Marlborough Investment Management Limited Authorised N FSA001 115231 Marlborough Investment Management Limited Authorised N FSA002 115235 Saunderson House Limited Authorised N FSA001 FSA002 115241 Miton Asset Management Limited Authorised N FSA001 FSA002 115248 Hargreaves Lansdown Asset Management Limited Authorised N FSA001 FSA002 115308 Reyker Securities Plc Authorised N FSA001 FSA002 116252 Cavendish Asset Management Ltd Authorised N FSA001 FSA002 116310 GCA Altium Limited Authorised N FSA001 FSA002 116320 J. Edward Sellars & Partners Limited Authorised N FSA001 FSA002 116337 SDB Strategic Planners Limited Authorised N FSA001 FSA002 116362 J.P. Morgan Trustee & Administration Services Limited Authorised N FSA001 FSA002 116404 Waverton Investment Management Limited Authorised N FSA001 FSA002 116413 Jarvis Investment Management Limited Authorised N FSA001 FSA002 118061 Augustine Limited Authorised N FSA001 FSA002 119178 Aviva Investors Global Services Limited Authorised N FSA001 FSA002 119184 Zedra Trust Company (UK) Limited Authorised N FSA001 FSA002 119186 BlackRock Advisors (UK) Limited Authorised N FSA001 FSA002 119193 Capital International Limited Authorised N FSA001 FSA002 119196 BNY Mellon Investment Management EMEA Limited Authorised N FSA001 FSA002 119207 Crown Agents Investment Management Limited Authorised N FSA001 FSA002 119223 HBOS Investment Fund Managers Limited Authorised N FSA001 FSA002 119230 BMO Asset Management Limited Authorised N FSA001 FSA002 119235 GAM Sterling Management Limited Authorised N FSA001 FSA002 119270 Asset Value Investors Limited Authorised N FSA001 FSA002 119272 Legal & General Investment Management Ltd Authorised N FSA001 FSA002 119281 CCLA Investment Management Ltd Authorised N FSA001 FSA002 119283 BMO REP Asset Management plc Authorised N FSA001 FSA002 119289 Martin Currie Investment Management Ltd Authorised N FSA001 FSA002 119293 BlackRock Investment Management (UK) Limited Authorised N FSA001 FSA002 119304 AlphaGen Capital Limited Authorised N FSA001 FSA002 119308 Insight Investment Management (Global) Limited Authorised N FSA001 FSA002 119319 UBS Asset Management (UK) Ltd Authorised N FSA001 FSA002 119328 M&G Investment Management Limited Authorised N FSA001 FSA002 119329 Close Asset Management Limited Authorised N FSA001 FSA002 119331 Newton Investment Management Limited Authorised N FSA001 FSA002 119337 JPMorgan Asset Management (UK) Limited Authorised N FSA001 FSA002 119348 Schroder Investment Management Ltd Authorised N FSA001 FSA002 119367 First State Investment Management (UK) Limited Authorised N FSA001 FSA002 119368 AXA Investment Managers UK Ltd Authorised N FSA001 FSA002 120776 London and Capital Wealth Advisers Limited Authorised N FSA001 FSA002 121066 Evans Hart Limited Authorised N FSA001 FSA002 121779 Franklin Templeton Investment Management Limited Authorised N FSA001 FSA002 121816 Mitsubishi UFJ Asset Management (UK) Ltd Authorised N FSA001 FSA002 121818 Baillie Gifford Overseas Limited Authorised N FSA001 FSA002 121831 Legg Mason Investments (Europe) Limited Authorised N FSA001 FSA002 121839 Lazard Asset Management Limited Authorised N FSA001 FSA002 121857 Henderson Global Investors Limited Authorised N FSA001 FSA002 121891 Aberdeen Asset Managers Limited Authorised N FSA001 FSA002 121895 Ignis Investment Services Limited Authorised N FSA001 FSA002 121920 Morgan Stanley Investment Management Limited Authorised N FSA001 FSA002 121921 NFU Mutual Investment Services Ltd Authorised N FSA001 FSA002 121926 McInroy & Wood Ltd Authorised N FSA001 FSA002 121935 Mercer Limited Authorised N FSA001 FSA002 121980 BMO Managers Limited Authorised N FSA001 FSA002 122009 Silverfleet Capital Limited Authorised N FSA001 FSA002 122013 Mr R Peter W Millar Authorised N FSA001 FSA002 122028 EFL Futures Limited Authorised N FSA001 FSA002 122058 M & G Financial Services Limited Authorised N FSA001 FSA002 122084 Nikko Asset Management Europe Ltd Authorised N FSA001 FSA002 122113 Daiwa Asset Management (Europe) Ltd Authorised N FSA001 FSA002 122126 Deutsche Trustee Company Ltd Authorised N FSA001 FSA002 122130 Aberdeen Investment Solutions Limited Authorised N FSA001 FSA002 122137 Pyrford International Limited Authorised N FSA001 FSA002 122140 Mirabaud Asset Management Limited Authorised N FSA001 FSA002 122169 Financial Administration Services Limited Authorised N FSA001 FSA002 122170 FIL Investments International Authorised N FSA001 FSA002 122194 Threadneedle Asset Management Limited Authorised N FSA001 FSA002 122222 Franklin Templeton Fund Management Limited Authorised N FSA001 FSA002 122229 RF Trustee Co. Limited Authorised N FSA001 FSA002 122282 Russell Investments Limited Authorised N FSA001 FSA002 122330 GAM London Limited Authorised N FSA001 FSA002 122331 GAM International Management Ltd Authorised N FSA001 FSA002 122335 HSBC Global Asset Management (UK) Limited Authorised N FSA001 122335 HSBC Global Asset Management (UK) Limited Authorised N FSA002 122351 Family Equity Plan Limited Authorised N FSA001 FSA002 122365 Innvotec Limited Authorised N FSA001 FSA002 122397 Consulta Ltd Authorised N FSA001 FSA002 122420 Investec Asset Management Limited Authorised N FSA001 FSA002 122428 Alder Investment Management Ltd Authorised N FSA001 FSA002 122429 Walter Scott & Partners Limited Authorised N FSA001 FSA002 122451 Vencap International Plc Authorised N FSA001 FSA002 122483 City Asset Management Plc Authorised N FSA001 FSA002 122491 Santander Asset Management UK Limited Authorised N FSA001 FSA002 122499 BRI Wealth Management PLC Authorised N FSA001 FSA002 122512 First State Investments International Limited Authorised N FSA001 FSA002 122528 Fabian J.A. Finlay M.C.S.I. Authorised N FSA001 FSA002 122531 PineBridge Investments Europe Limited Authorised N FSA001 FSA002 122566 SG Hambros Trust Company Limited Authorised N FSA001 FSA002 122588 Sanlam Private Investments (UK) Ltd Authorised N FSA001 FSA002 122589 OLIM Ltd Authorised N FSA001 FSA002 122627 UBS O'Connor Limited Authorised N FSA001 FSA002 122628 Baring International Investment Limited Authorised N FSA001 FSA002 122674 Invesco Asset Management Limited Authorised N FSA001 FSA002 122691 J. Rothschild Capital Management Limited Authorised N FSA001 FSA002 122703 Nomura Asset Management UK Ltd Authorised N FSA001 FSA002 124255 Tilney Investment Management Authorised N FSA001 FSA002 124257 Pritchard Stockbrokers Limited Authorised N FSA001 FSA002 124259 Quilter Cheviot Limited Authorised N FSA001 FSA002 124279 Fiske Plc Authorised N FSA001 FSA002 124341 ICAP WCLK Limited Authorised N FSA001 FSA002 124345 SANLAM SECURITIES UK LIMITED Authorised N FSA001 FSA002 124394 First Equity Limited Authorised N FSA001 FSA002 124404 Paul E Schweder Miller & Co Authorised N FSA001 FSA002 124412 Charles Stanley & Co Ltd Authorised N FSA001 FSA002 124415 Pershing Limited Authorised N FSA001 FSA002 124444 Brewin Dolphin Limited Authorised N FSA001 FSA002 124490 Daiwa Capital Markets Europe Limited Authorised N FSA001 FSA002 124520 ICAP Securities Limited Authorised N FSA001 FSA002 124536 J.P. Morgan Limited Authorised N FSA001 FSA002 124537 Investec Wealth & Investment Limited Authorised N FSA001 FSA002 124546 Sumitomo Mitsui Trust International Limited Authorised N FSA001 FSA002 124580 AX Markets Limited Authorised N FSA001 FSA002 124588 Clearstream
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