AXA Investment Managers GS Limited

• Principal Place of Business

  A X A Investment Managers

  22 Bishopsgate

  London

  City Of London

  EC2N 4BQ

  UNITED KINGDOM

  Phone

  +442070031000

  Web

  https://www.axa-im.co.uk

• Complaints Contact

  A X A Investment Managers

  22 Bishopsgate

  London

  City Of London

  EC2N 4BQ

  UNITED KINGDOM

  Phone

  +442070031000

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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, Funeral plan contract, 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, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Funeral plan contract, 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, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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, Retail (Investment), 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, Funeral plan contract, 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, Spread Bet, Stakeholder pension scheme, 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 Eligible Counterparty, Professional, Retail (Investment), 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, Funeral plan contract, 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, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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), 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, Funeral plan contract, 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, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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), 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, Funeral plan contract, 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, Spread Bet, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Christophe Roupie

  IRN CXR01360

  • CF1 Director (10 Apr 2006 to 31 Aug 2015)
• Christopher Cheetham

  IRN CSC01028

  • CF1 Director (1 Dec 2001 to 28 Mar 2003)
• Clair Elizabeth Gibson

  IRN CEG01038

  • CF10 Compliance Oversight (15 Aug 2012 to 25 Oct 2013)
• Colin Martin Clark

  IRN CMC01155

  • SMF9 Chair of the Governing Body (since 9 Dec 2019)
  • CF2 Non Executive Director (16 Aug 2018 to 8 Dec 2019)
• Craig Andrew Harris

  IRN CAH01245

  • CF30 Customer (24 Mar 2016 to 18 May 2017)
• Daniel Anthony Dewar

  IRN DAD01037

  • CF30 Customer (1 Nov 2007 to 24 May 2013)
  • CF26 Customer Trading (23 Jan 2007 to 31 Oct 2007)
• Daniel Ian Long

  IRN DIL01004

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Jun 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (8 Feb 2007 to 31 Oct 2007)
• Daniel Regis Leon

  IRN DRL01093

  • SMF3 Executive Director (9 Mar 2020 to 15 Jun 2020)
  • CF29 Significant management (31 May 2017 to 8 Dec 2019)
• Daniel Shepherd

  IRN DXS01791

  • CF30 Customer (1 Nov 2007 to 27 Nov 2014)
  • CF27 Investment Management (19 Sep 2005 to 31 Oct 2007)
• Daniel Stegmeier

  IRN DXS01275

  • CF30 Customer (1 Nov 2007 to 31 Jan 2017)
  • CF26 Customer Trading (1 Aug 2007 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 1 Aug 2007)

No changes recorded yet.