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.

  • Daniel Simon Marks

    IRN DSM01063

    • CF30 Customer (1 Nov 2007 to 8 Oct 2019)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Daniel Stephen Lawson

    IRN DSL01050

    • CF30 Customer (5 May 2017 to 3 Oct 2019)
  • Darren Hughes Mather

    IRN DHM01030

    • CF30 Customer (22 Apr 2008 to 7 Mar 2016)
  • Darren John Thornton

    IRN DJT01122

    • CF21 Investment Adviser (1 Dec 2001 to 29 Aug 2007)
    • CF27 Investment Management (1 Dec 2001 to 7 Jul 2006)
  • David Coldwells Stewart

    IRN DCS01049

    • CF2 Non Executive Director (9 Mar 2015 to 18 Sep 2017)
  • David Esfandi

    IRN DXE01099

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF3 Chief Executive (27 Nov 2019 to 8 Dec 2019)
    • CF1 Director (18 Sep 2017 to 8 Dec 2019)
  • David Jonathan Clinkard

    IRN DJC01196

    • CF30 Customer (21 Oct 2014 to 2 Oct 2019)
  • David Simon Marks

    IRN DSM01065

    • CF30 Customer (1 Nov 2007 to 16 Jun 2016)
    • CF21 Investment Adviser (15 Jan 2004 to 31 Oct 2007)
  • David Walton

    IRN DXW01254

    • [FCA CF] Manager of certification employee (since 2 Mar 2021)
    • [FCA CF] Client dealing (since 2 Dec 2020)
    • CF30 Customer (9 Oct 2013 to 8 Dec 2019)
  • David William Clueit

    IRN DWC01058

    • CF11 Money Laundering Reporting (18 Mar 2002 to 15 Jul 2019)
    • CF10 Compliance Oversight (18 Mar 2002 to 15 Jul 2019)
    • CF1 Director (18 Mar 2002 to 18 Sep 2017)
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Recent activity

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

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