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

  Show 6 limitations Hide limitations

  • · 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

  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, 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

• Michael Edward Lack

  IRN MEL01015

  • [FCA CF] Material risk taker (since 1 May 2023)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Client dealing (15 Oct 2020 to 30 Apr 2023)
  • CF30 Customer (3 Sep 2008 to 8 Dec 2019)
• Michael John Cieran Mulholland

  IRN MJM01171

  • CF10 Compliance Oversight (6 Jun 2016 to 21 Feb 2018)
  • CF11 Money Laundering Reporting (9 Sep 2014 to 21 Feb 2018)
  • CF3 Chief Executive (28 Mar 2014 to 10 May 2016)
  • CF1 Director (1 Dec 2001 to 21 Feb 2018)
• Michel Ray De Carvalho

  IRN MRD01051

  • CF2 Non Executive Director (4 Dec 2007 to 28 Feb 2017)
• Mikio Itabashi

  IRN MXI01379

  • CF30 Customer (26 Mar 2018 to 1 May 2019)
• Navinder Phalora

  IRN NXP00334

  • [FCA CF] Material risk taker (since 15 Oct 2020)
• Nigel Clifford Coles

  IRN NCC01035

  • CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2006)
  • CF27 Investment Management (1 Dec 2001 to 31 Mar 2006)
• Niraj Panachand Shah

  IRN NXS01210

  • CF30 Customer (1 Nov 2007 to 11 Dec 2008)
  • CF21 Investment Adviser (5 Jan 2006 to 31 Oct 2007)
  • CF27 Investment Management (5 Jan 2006 to 31 Oct 2007)
• Norimichi Mishima

  IRN NXM01102

  • CF3 Chief Executive (1 Dec 2001 to 7 Oct 2005)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 7 Oct 2005)
  • CF1 Director (1 Dec 2001 to 19 Oct 2006)
• Patrick Joseph Rudden

  IRN PJR01138

  • Director of firm who is not a certification employee or a SMF manager (since 1 Jan 2020)
• Peter Owen

  IRN PXO01067

  • [FCA CF] Material risk taker (since 18 Aug 2023)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (15 Oct 2020 to 18 Aug 2023)

• Daniel Burke (no longer appointed)

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

No changes recorded yet.