Aviva Investors Global Services Limited

Date authorised
1 April 2013
Companies House
01151805
Last scraped
4 days ago

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    80 Fenchurch Street
    London
    EC3M 4AE
    UNITED KINGDOM
    Phone
    +4402078096000
    Web
    https://www.avivainvestors.com

  • Complaints Contact

    80 Fenchurch Street
    London
    EC3M 4AE
    UNITED KINGDOM
    Phone
    +4402078096000

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Professional, Eligible Counterparty

  • Investment Advice (no pensions)

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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Retail (Investment), Professional, Eligible Counterparty, Non-investment insurance contracts, Personal pension scheme, Alternative Debenture, Life Policy, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · 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.

  • Arranges Asset Safekeeping

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

    Show 1 limitation
    • · 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 Commercial, Professional, Eligible Counterparty, Non-investment insurance contracts, Alternative Debenture, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · 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.

  • Runs Investment Funds

  • Investment Setup

    For Retail (Investment), Professional, Eligible Counterparty, Commercial, Alternative Debenture, Life Policy, Personal pension scheme, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts

    Show 1 limitation
    • · 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 Retail (Investment), Professional, Eligible Counterparty, Personal pension scheme, Alternative Debenture, Life Policy, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · 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.

  • Holds Your Assets

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

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Stephen Ken Wah Lee

    IRN SKL01014

    • (616)CF30 Customer (1 Nov 2007 to 17 Nov 2015)
    • (617)CF27 Investment Management (12 Aug 2004 to 31 Oct 2007)
  • Stephen Nicholas Ryder

    IRN SNR01038

    • (303)[FCA CF] Client dealing (since 9 Dec 2019)
    • (742)CF30 Customer (11 Feb 2010 to 8 Dec 2019)
  • Stephen Paul Waygood

    IRN SPW01132

    • (1321)[FCA CF] Manager of certification employee (9 Dec 2019 to 14 Mar 2025)
    • (1320)[FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2024)
    • (1319)[FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2025)
    • (1318)CF30 Customer (15 Sep 2009 to 8 Dec 2019)
  • Stephen Thomas Newcombe

    IRN SXN00095

    • (339)[FCA CF] Significant management (10 Jul 2020 to 6 Nov 2020)
  • Stephen Whyman

    IRN SPW01100

    • (531)CF30 Customer (6 Apr 2017 to 27 Apr 2018)
  • Steven Barry Clarke

    IRN SBC01032

    • (580)CF30 Customer (22 May 2015 to 23 Jun 2017)
  • Steven Hugh Blackie

    IRN SHB01040

    • (1529)SMF18 Other Overall Responsibility (9 Dec 2020 to 8 Sep 2022)
    • (1531)[FCA CF] Material risk taker (13 May 2020 to 8 Dec 2020)
    • (1533)[FCA CF] Significant management (9 Dec 2019 to 8 Dec 2020)
    • (1532)[FCA CF] Manager of certification employee (9 Dec 2019 to 8 Dec 2020)
    • (1530)[FCA CF] Client dealing (9 Dec 2019 to 8 Dec 2020)
  • Steven James Kemp

    IRN SXK00984

    • (110)[FCA CF] Client dealing (since 24 Jul 2025)
  • Steven Michael Farrall

    IRN SMF01068

    • (1493)SMF4 Chief Risk (9 Dec 2019 to 5 May 2025)
    • (1494)CF28 Systems and controls (29 Dec 2014 to 8 Dec 2019)
  • Steven Philip Thomas

    IRN TXS01356

    • (442)[FCA CF] Client dealing (since 9 Dec 2019)
    • (527)CF30 Customer (18 Jul 2017 to 8 Dec 2019)
Show more

Recent activity

Updates to this firm's record on the FCA register.

  1. controlled function added: (179)[FCA CF] Client dealing

  2. controlled function added: (178)[FCA CF] Client dealing

  3. controlled function added: (177)[FCA CF] Significant management

  4. controlled function added: (176)[FCA CF] Client dealing

  5. controlled function added: (175)[FCA CF] Client dealing

  6. controlled function added: (174)[FCA CF] Client dealing

  7. controlled function added: (173)[FCA CF] Client dealing

  8. controlled function added: (172)[FCA CF] Client dealing

  9. controlled function added: (171)[FCA CF] Client dealing

  10. controlled function added: (170)[FCA CF] Client dealing

Show more