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.

  • Dean Mark Swindell

    IRN DMS01137

    • CF27 Investment Management (1 Dec 2001 to 13 Oct 2006)
    • CF21 Investment Adviser (1 Dec 2001 to 13 Oct 2006)
  • Derek Ronald Strauss

    IRN DRS01070

    • CF30 Customer (1 Nov 2007 to 10 May 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 5 Jun 2007)
  • Dorian Peter Konig

    IRN DPK01033

    • CF30 Customer (1 Nov 2007 to 31 Mar 2018)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 16 Aug 2005)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • Douglas Russell Hesketh Jones

    IRN DRJ01039

    • CF30 Customer (1 Nov 2007 to 24 Sep 2015)
    • CF21 Investment Adviser (8 Sep 2003 to 31 Oct 2007)
  • Dudley John Warnes

    IRN DJW01192

    • CF30 Customer (17 Feb 2009 to 15 Oct 2019)
  • Duncan Aird Taylor

    IRN DAT01076

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (12 Jul 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (12 Jul 2019 to 8 Dec 2019)
  • Duncan Muir Stratford

    IRN DMS01135

    • CF29 Significant management (18 May 2018 to 28 May 2019)
  • EDWARD CHRISTOPHER Sterck

    IRN ECS01033

    • CF22 Investment Adviser (Trainee) (25 Sep 2006 to 28 Feb 2007)
  • Edmund Wortley

    IRN EWW01010

    • CF30 Customer (9 Nov 2010 to 15 Oct 2019)
  • Elisabeth Bell

    IRN EXB01372

    • CF30 Customer (27 Feb 2009 to 5 Jan 2012)
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Recent activity

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

No changes recorded yet.