Advent Capital Management UK Limited

• Principal Place of Business

  19 Dacre Street

  London

  Westminster

  SW1H 0DJ

  UNITED KINGDOM

  Phone

  +4402033579990

• Complaints Contact

  19 Dacre Street

  London

  Westminster

  SW1H 0DJ

  UNITED KINGDOM

  Phone

  +4402033579990

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Joseph John Edmund Shiels

  IRN JJS01091

  • CF30 Customer (24 Jul 2019 to 8 Dec 2019)
• Kris Haber

  IRN KXH01514

  • CF2 Non Executive Director (2 Mar 2015 to 6 Jun 2018)
• Laurent Leclercq

  IRN LXL01037

  • CF30 Customer (1 Nov 2007 to 23 Jun 2011)
  • CF11 Money Laundering Reporting (17 Jul 2007 to 31 Mar 2010)
  • CF8 Apportionment and Oversight (17 Jul 2007 to 31 Oct 2007)
  • CF10 Compliance Oversight (17 Jul 2007 to 31 Mar 2010)
  • CF1 Director (17 Jul 2007 to 23 Jun 2011)
  • CF21 Investment Adviser (4 Jul 2007 to 31 Oct 2007)
• Mark Andrew Latham

  IRN MAL01076

  • CF30 Customer (22 Aug 2012 to 10 Oct 2012)
  • CF1 Director (22 Aug 2012 to 10 Oct 2012)
• Mia Wyle

  IRN MXP02605

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Feb 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 28 Feb 2022)
  • CF10 Compliance Oversight (22 Oct 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (22 Oct 2015 to 8 Dec 2019)
• Natasha Niloofar Andrea Cook

  IRN NNC00006

  • CF10 Compliance Oversight (7 May 2010 to 31 May 2013)
  • CF11 Money Laundering Reporting (7 May 2010 to 31 May 2013)
• Osbert Hood

  IRN OXH01078

  • CF2 Non Executive Director (28 Aug 2012 to 28 Oct 2014)
• Prajesh Kotecha

  IRN PXK01523

  • CF30 Customer (28 Sep 2012 to 5 Mar 2014)
• Robert Gourlay

  IRN RXG01137

  • CF30 Customer (16 Sep 2014 to 26 Jun 2018)
• Rodd Baxter

  IRN RXB01793

  • CF2 Non Executive Director (25 Jul 2006 to 5 Aug 2011)

No changes recorded yet.