CANACCORD GENUITY ASSET MANAGEMENT LIMITED

• Principal Place of Business

  88 Wood Street

  London

  EC2V 7QR

  UNITED KINGDOM

  Phone

  +4402075234500

  Web

  https://www.canaccord-wealth.com/asset-management

• Complaints Contact

  88 Wood Street

  London

  EC2V 7QR

  UNITED KINGDOM

  Phone

  +4402075234500

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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 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.
  • · 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 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.

• 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 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.

• 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 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.

• Richard Carter

  IRN RJC01181

  • CF21 Investment Adviser (1 Dec 2001 to 8 Mar 2002)
• Richard Frank Coleman Pollitzer

  IRN RFP01024

  • CF30 Customer (1 Nov 2007 to 15 Oct 2019)
  • CF1 Director (1 Dec 2001 to 18 Sep 2017)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Richard Gary Collins

  IRN RGC01046

  • CF30 Customer (1 Nov 2007 to 16 Oct 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Richard James Hallett

  IRN RJH01163

  • SMF3 Executive Director (since 7 Jul 2021)
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • [FCA CF] Significant management (5 Feb 2021 to 24 Apr 2025)
  • [FCA CF] Manager of certification employee (2 Dec 2020 to 31 Oct 2023)
  • [FCA CF] Material risk taker (2 Dec 2020 to 24 Apr 2025)
  • CF1 Director (2 Mar 2011 to 18 Sep 2017)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (16 Sep 2005 to 31 Oct 2007)
• Richard John Sneideris

  IRN RJS01399

  • CF30 Customer (30 May 2013 to 15 Sep 2016)
• Richard Larner

  IRN RJL01088

  • CF30 Customer (12 Aug 2015 to 3 Oct 2019)
• Robert David Patrick Arkwright

  IRN RDA01019

  • CF21 Investment Adviser (1 Dec 2001 to 28 Mar 2002)
• Robert John Bailey

  IRN RJB01232

  • CF30 Customer (1 Nov 2007 to 22 Feb 2012)
  • CF29 Significant management (1 Nov 2007 to 31 Mar 2011)
  • CF16 Significant Mgt (Desgntd Investment Business) (29 Dec 2003 to 31 Oct 2007)
  • CF26 Customer Trading (15 Sep 2003 to 31 Oct 2007)
• Robert Matthew Daily

  IRN RMD01057

  • CF30 Customer (23 Jul 2018 to 2 Oct 2019)
• Robert Shirley

  IRN RXS03271

  • CF30 Customer (21 Feb 2017 to 16 Sep 2019)

No changes recorded yet.