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AITA LTD – FCA Regulation, Legal Status
Reference number: GP392124

This firm is authorised for specific activities and product types. It’s important to check the full record for what regulated activities this firm has permission to do.

This firm is shown on the Register because it is now, or was previously, approved by the FCA (or relevant regulatory body). As a result, you may be able to complain about this firm to the Financial Ombudsman Service. If this firm goes out of business owing you money you may be able to claim compensation from the Financial Services Compensation Scheme (FSCS). However, this is not always the case and these organisations may not cover some of this firm’s activities. If you would like to check what is and what isn’t covered, you can ask this firm to confirm this to you in writing. There’s more information on the Financial Ombudsman Service’s websiteopens in a new window and the FSCS’s websiteopens in a new window about the kind of complaints and claims they can help with. The final decision on whether or not they will consider any complaint or claim is for the Financial Ombudsman Service or the FSCS.

Notices

Restrictions / suspensions

This firm has requirements or restrictions placed on the financial services activities that it can operate. Requirements or restrictions can include suspensions.

Clones of this firm

Individuals are using the details of this firm to suggest they work for the genuine firm. We call this a cloned firm and it is typically part of a scam.


Who is this firm?

The ‘firm details’ displayed on the register have been confirmed as correct.

Firms are required to confirm that the information shown is correct at least annually.

Address

39a Great Marlborough St, Carnaby
London
E C 2 N 2 D L
UNITED KINGDOM

Phone

+44020-774-33000

Firm reference number

GP392124

Registered company number

09937824

Status

Authorised
Since 01/12/2001
This firm is authorised for specific activities and product types. It’s important to check the full record for what regulated activities this firm has permission to do.

Type

Regulated

Current names

NameAITAType of name (Registered, Trading)RegisteredEffective from15 Dec 2009

Previous names

NameBarclays Global Investors LtdType of name (Registered, Trading)RegisteredEffective from21 Oct 1996Effective to15 Dec 2009
NameBZW Barclays Global Investors LtdType of name (Registered, Trading)RegisteredEffective from02 Jan 1996Effective to21 Oct 1996
NameBarclays de Zoete Wedd Investment Management LtdType of name (Registered, Trading)RegisteredEffective from02 Apr 1992Effective to01 Jan 1996

How are customers protected?

Customer protections and the Register

The Register tells you the activities the FCA has given this firm permission to carry out. The Register can only give you general information about the help from other organisations if something goes wrong when dealing with this firm. The Register does not detail the activities that the firm undertakes that do not require FCA approval.

The Financial Ombudsman Service and the Financial Services Compensation Scheme (FSCS) are the main organisations who may be able to help if something goes wrong when dealing with this firm. The Financial Ombudsman Service may be able to resolve your complaint against this firm if the firm fails to deal with it properly. The FSCS may be able to provide compensation if this firm goes out of business owing you money.

The protection provided by the Financial Ombudsman Service and FSCS depends on the activity a firm is carrying out. There are also other conditions, such as needing to bring a complaint or claim within a set time period, that affect any protection you may have. The final decision to consider any specific complaint or claim is determined by the Financial Ombudsman Service or the FSCS. You should always check which activities are covered by these organisations before doing business with this firm.

The Financial Ombudsman Service may be able to consider a complaint about this firm

If this firm fails to deal with your complaint properly, you can ask the Financial Ombudsman Service to help. But it may not be able to consider complaints about all the firm’s activities. The Financial Ombudsman Service has the final decision as to whether or not it will consider a specific complaint.

You can complain to the Financial Ombudsman Service about most regulated activities and some unregulated activities. The Financial Ombudsman Service’s websiteopens in a new window has information about the type of activities you can complain about.

The Financial Services Compensation Scheme may be able to consider a claim against this firm if it fails

If this firm goes out of business owing you money, you can ask the Financial Services Compensation Scheme (FSCS) to help. FSCS protection only applies to claims in connection with some regulated activities. The FSCS has the final decision as to whether or not it will consider a specific complaint. The FSCS websiteopens in a new window gives you information on what it protects.

If you have a complaint about a firm

If you are concerned you’ve been scammed: consumers in England, Wales or Northern Ireland should immediately contact the FCA and Action Fraud opens in a new tab.

Complain to the firm
1 Argyll St
London
E C 2 N 2 D L
UNITED KINGDOM
+442085210606
Report to the FCA

If you have concerns about a firm listed on the Register, contact the FCA directly. If you have concerns about a firm listed on the Register

If you suspect you have been contacted by an unauthorised firm or individual carrying out an FCA-regulated activity, report it to us using this form. Report a scam to us. Opens in a new window

What can this firm do in the UK?

Client Money

This firm can hold and can control client money


Specific requirements may change this firm's ability to hold or control client money – see below for details.


Effective sinceRequirement
10 Sept 2003
Access to the electoral register
The firm shall access the full electoral register, where this is the most cost-effective way of verifying identity for anti-money laundering purposes and will not prejudice the interests of the customer, in order to carry out the current customer review exercise.

What this information means

The law restricts who can promote financial services and products ('communicate financial promotions'). Firms or individuals (‘persons’) have to be authorised to do this, unless an authorised person has already approved the financial promotion or an exemption applies. This firm is an authorised person. This means it may be able to approve financial promotions for unauthorised persons in some circumstances. This section sets out the types of financial promotions this firm can approve.​

Unless there is a requirement on this firm that says otherwise, then:

This firm can approve its own financial promotions as well as those of members of its wider group and, in certain circumstances, those of its appointed representatives.

If you have concerns about a financial promotion or would like to check that an authorised person has approved a financial promotion, please contact the authorised person who communicated or approved it.
If the financial promotion came from an unauthorised person, then the promotion may show the name of the authorised person who approved it or that firm's reference number (FRN).

Please note The Financial Ombudsman Service is unlikely to consider a complaint about the approval of a financial promotion. The Financial Services Compensation Scheme is unlikely to be able to consider claims that are solely about the communication or approval of financial promotions.

If you're worried or have a complaint about the firm, please check 'How are customers protected?' section.

What to do with this information

These regulated activities are grouped into categories. You should check the specific activities within these categories relate to the business you want to do with the firm, not just the categories.

This firm is shown on the Register because it is now, or was previously, approved by the FCA (or relevant regulatory body). As a result, you may be able to complain about this firm to the Financial Ombudsman Service. If this firm goes out of business owing you money you may be able to claim compensation from the Financial Services Compensation Scheme (FSCS). However, this is not always the case and these organisations may not cover some of this firm’s activities. If you would like to check what is and what isn’t covered, you can ask this firm to confirm this to you in writing. There’s more information on the Financial Ombudsman Service’s website and the FSCS’s website about the kind of complaints and claims they can help with. The final decision on whether or not they will consider any complaint or claim is for the Financial Ombudsman Service or the FSCS.

Once you have checked this page, you should contact the firm via their main contact details and ask them to confirm their permitted regulated activities.

A firm can apply for a waiver or modification of our rules or, in some situations, certain permissions (e.g. MiFIDPRU and CRR permissions). This table shows the waivers, modifications, and exclusions we currently hold for this firm.

Waivers/ModificationsA00004415P.pdf (pdf / 0.102MB)Rule/Article No.

MIFIDPRU 2.3.2R

Who is involved with activities at this firm?

You should check the details of any individual that you want to carry out regulated activities on your behalf, especially their current roles and any disciplinary or regulatory action on their record.

Current

NameIndividual reference numberNJC00010StatusApproved by regulatorRole

SMF9 Chair of the Governing Body


SMF13 Chair of the Nominations Committee


What can this firm do in the European Economic Area?

A ‘passport’ enables this authorised firm to provide financial products or services, set up a base, or carry on its permitted activities in Gibraltar.

Country

GIBRALTAR

Directive

Markets in Financial Instruments Directive

Passport type

Service

  1. A(1) Reception and transmission of orders in relation to one or more financial instruments
  2. A(1) Reception and transmission of orders in relation to one or more financial instruments
  3. A(1) Reception and transmission of orders in relation to one or more financial instruments
  4. A(1) Reception and transmission of orders in relation to one or more financial instruments
  5. A(1) Reception and transmission of orders in relation to one or more financial instruments
  6. A(1) Reception and transmission of orders in relation to one or more financial instruments
  7. A(1) Reception and transmission of orders in relation to one or more financial instruments
  8. A(1) Reception and transmission of orders in relation to one or more financial instruments
  9. A(1) Reception and transmission of orders in relation to one or more financial instruments
  10. A(1) Reception and transmission of orders in relation to one or more financial instruments
  11. A(2) Execution of orders on behalf of clients
  12. A(2) Execution of orders on behalf of clients
  13. A(2) Execution of orders on behalf of clients
  14. A(2) Execution of orders on behalf of clients
  15. A(2) Execution of orders on behalf of clients
  16. A(2) Execution of orders on behalf of clients
  17. A(2) Execution of orders on behalf of clients
  18. A(2) Execution of orders on behalf of clients
  19. A(2) Execution of orders on behalf of clients
  20. A(2) Execution of orders on behalf of clients
  21. A(4) Portfolio management
  22. A(4) Portfolio management
  23. A(4) Portfolio management
  24. A(4) Portfolio management

Country

GIBRALTAR

Directive

Markets in Financial Instruments Directive

Passport type

Service

  1. A(1) Reception and transmission of orders in relation to one or more financial instruments
    2. Investment Types

  2. A(2) Execution of orders on behalf of clients
    3. Investment Types

  3. A(4) Portfolio management
    4. Investment Types

  4. A(5) Investment advice
    5. Investment Types

  5. B(3) Advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings
    6. Investment Types

  6. B(5) Investment research and financial analysis or other forms of general recommendation relating to transactions in financial instruments
    7. Investment Types

Who is this firm connected to?

This table shows the former and current regulators of this firm, in the UK and in other European Economic Area (EEA) countries.

RegulatorFinancial Conduct AuthorityEffective from01 Apr 2013Effective to
RegulatorFinancial Services AuthorityEffective from01 Dec 2001Effective to31 Mar 2013
RegulatorInvestment Management Regulatory OrganisationEffective from01 Jan 1901Effective to30 Nov 2001

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  • Telephone: 0800 111 6768 (free phone), 0300 500 8082 (from the uk), or +44 207 066 1000 (from abroad)
  • Email: consumer.queries@fca.org.uk
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