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.

• Daniel Bright

  IRN DXB17565

  • [FCA CF] Client dealing (since 1 Aug 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Jun 2021)
  • CF30 Customer (25 Jul 2019 to 8 Dec 2019)
• Daniel James Aylott

  IRN DJA01115

  • CF27 Investment Management (1 Dec 2001 to 31 Dec 2006)
• Daniel Klusmann

  IRN DXK01549

  • CF30 Customer (15 Apr 2014 to 13 Nov 2015)
• Daniel Lee James

  IRN DLJ01021

  • CF30 Customer (4 Jul 2011 to 13 Jun 2018)
• Daniel Luke Shelley

  IRN DXS01055

  • [FCA CF] Client dealing (since 25 Sep 2024)
• Daniel McHugh

  IRN DXM03104

  • SMF18 Other Overall Responsibility (since 1 Jan 2025)
  • Responsible for Insurance Distribution (since 10 Sep 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (19 Oct 2023 to 1 Jan 2025)
  • SMF18 Other Overall Responsibility (10 Sep 2021 to 19 Oct 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 9 Sep 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 9 Sep 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 9 Sep 2021)
  • CF30 Customer (16 Apr 2018 to 8 Dec 2019)
  • CF29 Significant management (16 Apr 2018 to 17 May 2019)
• Daniel Roberts

  IRN RXD01135

  • CF30 Customer (1 Nov 2007 to 20 Apr 2009)
  • CF27 Investment Management (31 Jan 2006 to 31 Oct 2007)
• Daniel Sean Carter

  IRN DSC01085

  • [FCA CF] Functions requiring qualifications (29 Jan 2024 to 2 Sep 2024)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 18 Jun 2021)
• Danielle Nikki Bowkett

  IRN DNB01062

  • CF30 Customer (18 Jun 2015 to 3 Jan 2019)
• Danielle Williams

  IRN DXW01688

  • SMF7 Group Entity Senior Manager (since 28 Apr 2020)

No changes recorded yet.