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

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  • · 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

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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.
  • · 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

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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.

• 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

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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, 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

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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.

• Roderick Charles Serrell

  IRN RCS01064

  • CF21 Investment Adviser (1 Dec 2001 to 24 Jan 2002)
• Roisin Sinead Newton

  IRN RSS01132

  • CF30 Customer (28 Oct 2014 to 8 Oct 2019)
• Rupa Ruparelia

  IRN RXR00219

  • [FCA CF] Significant management (since 4 Aug 2025)
  • [FCA CF] Material risk taker (since 12 Jun 2025)
• SAMANTHA JANE Cook

  IRN SXC01379

  • CF30 Customer (3 Mar 2011 to 31 Mar 2018)
• Sandra Ovcina

  IRN SXO11493

  • CF30 Customer (14 Feb 2019 to 8 Oct 2019)
• Sharon Caroline Blundell

  IRN SCB01096

  • CF29 Significant management (1 Nov 2007 to 31 Mar 2011)
  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 31 Oct 2007)
• Sharon Nicola Priest

  IRN SNR01018

  • CF30 Customer (1 Nov 2007 to 30 Jun 2014)
  • CF21 Investment Adviser (10 Mar 2006 to 31 Oct 2007)
  • CF27 Investment Management (10 Mar 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (15 Feb 2006 to 10 Mar 2006)
• Shaun Antony Britton

  IRN SAB01276

  • CF30 Customer (1 Nov 2007 to 24 Sep 2010)
  • CF22 Investment Adviser (Trainee) (1 Jun 2007 to 31 Oct 2007)
• Shirley Anne Gerrard

  IRN SAR01114

  • CF30 Customer (1 Nov 2007 to 30 Oct 2017)
  • CF26 Customer Trading (29 Jan 2004 to 31 Oct 2007)
• Siddarth Chand Lall

  IRN SXL01617

  • [FCA CF] Manager of certification employee (since 2 Mar 2021)
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • CF30 Customer (18 Aug 2008 to 8 Dec 2019)

No changes recorded yet.