Aviva Investors Global Services Limited

Principal Place of Business

Phone

+4402078096000

Web

https://www.avivainvestors.com

Complaints Contact

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

Authorised to Operate

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

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

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

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

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

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

IRN SAA01216

• (508)SMF10 Chair of the Risk Committee (since 27 Sep 2023)
• (1459)Director of firm who is not a certification employee or a SMF manager (1 Mar 2022 to 26 Sep 2023)

IRN SXS01803

• (1377)[FCA CF] Client dealing (9 Dec 2019 to 13 Dec 2019)
• (1376)CF30 Customer (18 May 2009 to 2 Jan 2015)

IRN SXK01507

• (428)14. Managing investments
• (432)[FCA CF] Functions requiring qualifications (since 1 Nov 2022)
• (429)[FCA CF] Client dealing (since 9 Dec 2019)
• (431)[FCA CF] Manager of certification employee (since 9 Dec 2019)
• (430)[FCA CF] Material risk taker (since 9 Dec 2019)
• (524)CF30 Customer (9 Oct 2017 to 8 Dec 2019)

IRN SXS00372

• (1168)[FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2021)

IRN SXK01672

• (875)[FCA CF] Material risk taker (1 Jan 2023 to 14 Nov 2025)
• (876)[FCA CF] Manager of certification employee (22 Aug 2022 to 31 Jul 2023)
• (874)[FCA CF] Client dealing (9 Dec 2019 to 14 Nov 2025)
• (873)CF30 Customer (6 Sep 2013 to 8 Dec 2019)

IRN SXR00908

• (153)[FCA CF] Client dealing (since 3 Dec 2024)

IRN SXE01100

• (1554)SMF3 Executive Director (9 Dec 2019 to 31 Mar 2021)
• (1553)SMF24 Chief Operations (9 Dec 2019 to 31 Mar 2021)
• (1555)CF10a CASS Oversight function (18 Dec 2014 to 8 Dec 2019)
• (1556)CF1 Director (17 Dec 2014 to 8 Dec 2019)

IRN SHS01023

• (1)CF30 Customer (1 Nov 2007 to 13 Dec 2013)
• (2)CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

IRN SXK00788

• (205)[FCA CF] Significant management (since 23 Apr 2024)

IRN SXS00373

• (1167)[FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2021)