AMOVA ASSET MANAGEMENT UK LIMITED

• Principal Place of Business

  3rd Floor, 36 Queen Street

  London

  EC4R 1BN

  UNITED KINGDOM

  Phone

  +4402037021005

  Web

  https://emea.amova-am.com

• Complaints Contact

  Amova Asset Management UK Limited, 3rd Floor, 36 Queen Street

  London

  EC4R 1BN

  UNITED KINGDOM

  Phone

  +4402037021005

• Investment Advice (no pensions)

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

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  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to investment management activities for the specified customer types.
  • · 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 recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• 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, Commodity Future, Commodity option and option on commodity future, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 9 limitations Hide limitations

  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · Limited to investment management activities for the specified customer types.
  • · 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 unregulated collective investment scheme share exchange operations and, in carrying on such operations to the specified investments listed other than, all contractually based investments.
  • · 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).
  • · Limited to dealing-only activities.
  • · Limited to recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Stockbroking

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

  Show 4 limitations Hide limitations

  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · 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 for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Investment Setup

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

  Show 7 limitations Hide limitations

  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · Limited to investment management activities for the specified customer types.
  • · 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.
  • · Limited to recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Manages Your Portfolio

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

• Batin Hasan Ozkurt

  IRN BXO00083

  • [FCA CF] Client dealing (1 May 2023 to 28 Feb 2025)
• Bridget Jane Bainbridge

  IRN BJB01064

  • CF10 Compliance Oversight (1 Dec 2001 to 23 Mar 2005)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 23 Mar 2005)
• Carl Allan Baldwin

  IRN CAB01197

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (8 Aug 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (8 Aug 2019 to 8 Dec 2019)
• Charles Beazley

  IRN CJB01284

  • CF30 Customer (1 Nov 2007 to 1 Sep 2010)
  • CF3 Chief Executive (18 Dec 2006 to 1 Sep 2010)
  • CF1 Director (18 Dec 2006 to 31 Mar 2014)
  • CF21 Investment Adviser (18 Dec 2006 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (18 Dec 2006 to 31 Oct 2007)
• Charles Michael Metcalfe

  IRN CMM01097

  • CF1 Director (24 Nov 2010 to 31 Mar 2014)
  • CF3 Chief Executive (24 Nov 2010 to 3 Apr 2014)
  • CF30 Customer (24 Nov 2010 to 3 Apr 2014)
• Charlie William Richard Smith

  IRN CWS01057

  • [FCA CF] Material risk taker (1 May 2023 to 31 Mar 2025)
  • [FCA CF] Client dealing (15 Oct 2020 to 30 Apr 2023)
  • CF30 Customer (12 Jul 2011 to 11 May 2015)
• Christopher Wood

  IRN CXW01207

  • CF30 Customer (1 Nov 2007 to 27 Jun 2008)
  • CF21 Investment Adviser (12 Sep 2006 to 31 Oct 2007)
  • CF27 Investment Management (12 Sep 2006 to 31 Oct 2007)
• Christopher Yeung Ho Yik

  IRN CXY00066

  • [FCA CF] Material risk taker (since 1 May 2023)
• Cinzia Basile

  IRN CXB01870

  • [FCA CF] Material risk taker (since 16 Oct 2024)
  • SMF9 Chair of the Governing Body (since 16 Oct 2024)
  • Director of firm who is not a certification employee or a SMF manager (15 Oct 2020 to 20 Aug 2024)
• Clive Fraser Paine

  IRN CFP01016

  • [PRA CF] Managing a material risk taker (since 18 Jul 2025)
  • [FCA CF] Manager of certification employee (since 1 Apr 2024)
  • [FCA CF] Client dealing (since 1 May 2023)
  • [FCA CF] Material risk taker (15 Oct 2020 to 30 Apr 2023)
  • CF30 Customer (20 Dec 2018 to 8 Dec 2019)

• Daniel Burke (no longer appointed)

  FRN 610523 · Appointed 19 Nov 2013 · Until 10 Mar 2014

No changes recorded yet.