Aviva Investors Global Services Limited

• 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

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · 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

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

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, 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, Non-investment insurance contracts, 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, Unit, Warrant

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  • · 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 Eligible Counterparty, Professional, Alternative Debenture, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · 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, Eligible Counterparty, Professional, Alternative Debenture, 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, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, 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, Non-investment insurance contracts, 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, Unit, Warrant

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  • · 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 Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, 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, Unit, Warrant

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  • · 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 Eligible Counterparty, Professional, Alternative Debenture, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · 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.

• Peter Woodberry-Watts

  IRN PXW01530

  • CF30 Customer (1 Nov 2007 to 5 Mar 2009)
  • CF21 Investment Adviser (20 Feb 2007 to 31 Oct 2007)
• Philip Bruno

  IRN PXB01294

  • CF27 Investment Management (1 Dec 2001 to 29 Jan 2003)
• Philip Clark

  IRN PJC01147

  • CF27 Investment Management (1 Dec 2001 to 6 Jul 2007)
• Philip Coffer

  IRN PXC00051

  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Mar 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 1 Mar 2023)
• Philip Easter

  IRN PXE01076

  • CF14 Risk Assessment (8 Feb 2005 to 31 May 2005)
  • CF13 Finance (1 Dec 2001 to 31 May 2005)
• Philip Elliot Arnold Beale

  IRN PEB01047

  • CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2003)
• Philip Falzon Sant Manduca

  IRN PCM01046

  • CF27 Investment Management (1 Aug 2002 to 2 Sep 2002)
• Philip Frederick Ellis

  IRN PFE01001

  • CF30 Customer (1 Nov 2007 to 31 Mar 2016)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Philip Gordon Scott

  IRN PGS01035

  • CF28 Systems and controls (1 Nov 2007 to 8 Nov 2007)
  • CF13 Finance (24 Aug 2007 to 31 Oct 2007)
  • CF3 Chief Executive (16 Mar 2007 to 3 Sep 2007)
  • CF8 Apportionment and Oversight (16 Mar 2007 to 3 Sep 2007)
  • CF1 Director (16 Mar 2007 to 8 Nov 2007)
• Philip John Payton Nell

  IRN PJN01023

  • CF30 Customer (1 Nov 2007 to 17 Jul 2015)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.