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

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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

• Philip Henri Hanssens

  IRN PHH01027

  • CF10 Compliance Oversight (25 Sep 2006 to 31 Aug 2014)
  • CF11 Money Laundering Reporting (25 Sep 2006 to 31 Aug 2014)
• Pritpal Singh Lotay

  IRN PXL01772

  • [FCA CF] Material risk taker (15 Oct 2020 to 30 Jun 2023)
  • CF30 Customer (21 Oct 2017 to 8 Dec 2019)
• Raphael Marechal

  IRN RXM01843

  • [FCA CF] Material risk taker (15 Oct 2020 to 3 May 2023)
  • CF30 Customer (2 Feb 2016 to 8 Dec 2019)
• Richard John Kehoe

  IRN RJK01128

  • [FCA CF] Material risk taker (15 Oct 2020 to 19 Sep 2022)
  • CF30 Customer (16 Apr 2019 to 8 Dec 2019)
• Robert John Bluzmanis

  IRN RXB00587

  • SMF1 Chief Executive (since 24 May 2022)
  • [FCA CF] Manager of certification employee (since 24 May 2022)
  • [FCA CF] Material risk taker (since 24 May 2022)
  • SMF3 Executive Director (since 24 May 2022)
• Simon James Down

  IRN SJD01110

  • CF30 Customer (1 Nov 2007 to 31 Mar 2017)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Stephen Daniel Corr

  IRN SDC01061

  • CF30 Customer (6 Aug 2014 to 12 Dec 2016)
• Steven Fitzgerald Williams

  IRN SFW01046

  • [FCA CF] Material risk taker (since 15 Oct 2020)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (18 Dec 2014 to 8 Dec 2019)
• Stuart Leigh Kinnersley

  IRN SLK01008

  • CF30 Customer (1 Nov 2007 to 31 Mar 2014)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 19 Dec 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 19 Dec 2006)
  • CF1 Director (1 Dec 2001 to 31 Mar 2014)
• Takashi Kurosawa

  IRN TXK01689

  • Director of firm who is not a certification employee or a SMF manager (15 Oct 2020 to 31 Mar 2023)
  • CF2 Non Executive Director (7 Aug 2019 to 8 Dec 2019)
  • CF1 Director (8 Jun 2018 to 7 Aug 2019)

• Daniel Burke (no longer appointed)

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

No changes recorded yet.