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.

• Simon Anthony Gunning

  IRN SAG01054

  • CF30 Customer (18 May 2011 to 2 Oct 2019)
• Simon Lovat

  IRN SXL01316

  • CF21 Investment Adviser (30 Jun 2005 to 10 Mar 2006)
• Simon Oliver Hargreave

  IRN SOH01003

  • CF30 Customer (1 Nov 2007 to 1 Apr 2009)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Simon Raggett

  IRN SJR01142

  • CF30 Customer (2 Nov 2015 to 15 Oct 2019)
• Stephen Leigh Massey

  IRN SLM01042

  • SMF9 Chair of the Governing Body (since 9 Dec 2019)
  • CF2 Non Executive Director (18 Sep 2017 to 8 Dec 2019)
• Stephen MacLaurin Elliott

  IRN SME01019

  • CF2 Non Executive Director (1 Dec 2001 to 25 May 2005)
• Stephen Michael Blakemore

  IRN SMB01306

  • CF30 Customer (22 Jan 2016 to 2 Oct 2019)
• Steven John Robertson

  IRN SJR01147

  • [FCA CF] Client dealing (6 Sep 2023 to 31 Jul 2025)
• Stuart Neville Brookes

  IRN SNB01015

  • [FCA CF] Manager of certification employee (since 2 Dec 2020)
  • [FCA CF] Significant management (since 2 Dec 2020)
  • [FCA CF] Material risk taker (since 2 Dec 2020)
  • [FCA CF] CASS oversight function (since 2 Dec 2020)
  • CF3 Chief Executive (16 Jun 2014 to 31 May 2019)
  • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 31 May 2019)
• Terence McCaughey

  IRN TXM01195

  • CF2 Non Executive Director (8 Jun 2005 to 18 Sep 2017)

No changes recorded yet.