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.

  • Laura Elisa Eaves

    IRN LEE01013

    • CF30 Customer (29 Dec 2010 to 18 Jan 2012)
  • Laurence Benjamin Leigh

    IRN LBL01013

    • CF30 Customer (10 May 2018 to 3 Oct 2019)
  • Lee Finlayson

    IRN LXF01046

    • SMF3 Executive Director (9 Dec 2019 to 28 Feb 2021)
    • CF3 Chief Executive (16 Jun 2014 to 27 Nov 2019)
    • CF28 Systems and controls (1 Nov 2007 to 10 Dec 2014)
    • CF30 Customer (1 Nov 2007 to 2 Oct 2019)
    • CF1 Director (10 Aug 2007 to 8 Dec 2019)
    • CF14 Risk Assessment (17 Oct 2006 to 31 Oct 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2002 to 10 Aug 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Leon Shuall

    IRN LAS01050

    • CF30 Customer (1 Nov 2007 to 15 Oct 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Lewis Pether

    IRN LXP01555

    • CF30 Customer (22 Mar 2017 to 8 Oct 2019)
  • Leyton James Hunt

    IRN LJH01062

    • CF29 Significant management (1 Nov 2007 to 31 Mar 2011)
    • CF30 Customer (1 Nov 2007 to 2 Oct 2019)
    • CF16 Significant Mgt (Desgntd Investment Business) (4 May 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (9 Dec 2003 to 31 Oct 2007)
    • CF27 Investment Management (9 Dec 2003 to 31 Oct 2007)
  • Louise Tracey Ann Allen

    IRN LTA01004

    • CF28 Systems and controls (1 Nov 2007 to 30 Jun 2016)
    • CF29 Significant management (1 Nov 2007 to 30 Jun 2016)
    • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 31 Oct 2007)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
    • CF19 Significant Mgt (Financial Resources) (1 Dec 2001 to 31 Oct 2007)
  • Lucian Robert DeLorenzo

    IRN LRD01009

    • CF30 Customer (1 Nov 2007 to 30 Jun 2011)
    • CF27 Investment Management (31 Mar 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (31 Mar 2005 to 31 Oct 2007)
  • Lucy Bloomfield

    IRN LXM01635

    • [FCA CF] Client dealing (since 2 Dec 2020)
    • CF30 Customer (14 Sep 2018 to 8 Dec 2019)
  • Marcos Gregory Mackie

    IRN MGM01072

    • CF30 Customer (1 Nov 2007 to 8 Oct 2019)
    • CF21 Investment Adviser (18 May 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (16 Mar 2007 to 18 May 2007)
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Recent activity

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

No changes recorded yet.