Amati Global Investors Limited

• Principal Place of Business

  8 Coates Crescent

  Edinburgh

  Midlothian

  EH3 7AL

  UNITED KINGDOM

  Phone

  +4401315039100

  Web

  https://www.amatiglobal.com

• Complaints Contact

  8 Coates Crescent

  Edinburgh

  Midlothian

  EH3 7AL

  UNITED KINGDOM

  Phone

  +4401315039100

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Authorised to Operate

  Show 1 limitation Hide limitations

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

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to transaction-only activities.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

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

• Adam Douglas Mortimer Grant

  IRN AXG01355

  • CF1 Director (2 Apr 2008 to 10 Jun 2009)
  • CF28 Systems and controls (1 Nov 2007 to 10 Jun 2009)
  • CF13 Finance (29 Jan 2007 to 31 Oct 2007)
• Alan John Howie

  IRN AJH01228

  • CF30 Customer (1 Nov 2007 to 14 Nov 2008)
  • CF21 Investment Adviser (10 Aug 2005 to 31 Oct 2007)
  • CF1 Director (10 Aug 2005 to 22 Oct 2007)
• Alan Llewelyn Jenkins Bowen

  IRN ALB01046

  • CF30 Customer (1 Nov 2007 to 17 Oct 2008)
  • CF21 Investment Adviser (19 Jan 2007 to 31 Oct 2007)
• Alastair James Weinel

  IRN AJW01482

  • CF30 Customer (23 Jun 2009 to 15 Jan 2010)
• Alison Clark

  IRN AXC03335

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (19 Apr 2018 to 8 Dec 2019)
• Alistair Graham Ray

  IRN AGR01047

  • CF2 Non Executive Director (13 Oct 2004 to 30 Jun 2005)
• Andreas Frank

  IRN AXF01528

  • CF30 Customer (8 Jan 2009 to 16 Feb 2010)
• Andrew Edward Christopher Webster

  IRN AEW01072

  • CF30 Customer (8 Jan 2009 to 21 Jan 2010)
• Andrew Lynn

  IRN ABL01034

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (23 Aug 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (23 Aug 2017 to 8 Dec 2019)
• Anna Linn Macdonald

  IRN ALM01038

  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Apr 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 21 Apr 2023)
  • CF30 Customer (1 Feb 2018 to 8 Dec 2019)

• Jconsult (Europe) Ltd (no longer appointed)

  FRN 563636 · Appointed 1 Sep 2011 · Until 13 Jan 2014

• Highland Capital Partners Limited (no longer appointed)

  FRN 563535 · Appointed 31 Aug 2011 · Until 24 Apr 2014

No changes recorded yet.