CANACCORD GENUITY ASSET MANAGEMENT LIMITED

Date authorised
1 March 2001
Companies House
03146580
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

What this firm is allowed to do

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

  • Authorised to Operate

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

  • Arranges Investments

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 2 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.
    • · The firm cannot undertake pension transfers and pension opt outs with respect to this activity.

  • Stockbroking

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    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.

  • Investment Setup

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    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 Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    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.

  • Joseph Patrick Rogan

    IRN JPR01118

    • CF29 Significant management (1 Nov 2007 to 31 Mar 2011)
    • CF20 Significant Mgt (Settlements) (12 Jul 2006 to 31 Oct 2007)
  • Josh Sanford

    IRN JXS02967

    • CF30 Customer (16 Dec 2014 to 15 Oct 2019)
  • Joshua Northrop

    IRN JXN01492

    • CF30 Customer (18 Sep 2015 to 21 Feb 2018)
  • Joshua Ross-Field

    IRN JXR01506

    • CF30 Customer (1 Nov 2007 to 15 Oct 2019)
    • CF21 Investment Adviser (22 Feb 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (9 Aug 2005 to 22 Feb 2007)
    • CF26 Customer Trading (24 Feb 2004 to 22 Feb 2007)
  • Julie Ann Spencer

    IRN JAS01424

    • CF29 Significant management (30 Jul 2008 to 11 Feb 2010)
  • Justin Regimbeau

    IRN JXR01242

    • CF30 Customer (1 Nov 2007 to 27 Nov 2012)
    • CF26 Customer Trading (15 Sep 2003 to 31 Oct 2007)
  • Karen Smith

    IRN KXB01282

    • CF30 Customer (15 Mar 2016 to 15 Oct 2019)
  • Kelly Marie Robins

    IRN KMC01048

    • CF21 Investment Adviser (13 Dec 2002 to 28 Feb 2007)
  • Kevin Thomas Melia

    IRN KTM01010

    • CF30 Customer (1 Nov 2007 to 17 Oct 2018)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Kim Ian Maurice Fraser

    IRN KIF01002

    • CF30 Customer (1 Nov 2007 to 30 Aug 2013)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
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Recent activity

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

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