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

  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.

• Erik Robert Finnur Anderson

  IRN ERA01005

  • CF2 Non Executive Director (16 Oct 2010 to 8 Dec 2010)
• Eustace Anselm Davies Santa Barbara

  IRN EAS01060

  • [FCA CF] Manager of certification employee (since 2 Mar 2021)
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • CF30 Customer (1 Feb 2014 to 8 Dec 2019)
• Francis Hugh Magnus Leach

  IRN FHL01005

  • CF21 Investment Adviser (27 Sep 2006 to 26 Mar 2007)
  • CF22 Investment Adviser (Trainee) (30 Mar 2006 to 27 Sep 2006)
• Frederick James Albert Snowden

  IRN FXS01560

  • CF30 Customer (17 Mar 2017 to 12 Jun 2018)
• Gareth Philip Deacon

  IRN GPD01045

  • CF30 Customer (1 Nov 2007 to 30 Jan 2018)
  • CF26 Customer Trading (16 Jan 2007 to 31 Oct 2007)
• Gareth Royston Morgan Evans

  IRN GRE01035

  • CF30 Customer (2 Nov 2015 to 9 Feb 2018)
• George Edward James Finlay

  IRN GEF01003

  • [FCA CF] Client dealing (2 Dec 2020 to 7 Jun 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (21 Aug 2007 to 18 Sep 2017)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Giles St.George Hargreave

  IRN GSH01032

  • [FCA CF] Material risk taker (2 Dec 2020 to 5 Mar 2021)
  • [FCA CF] Client dealing (2 Dec 2020 to 5 Mar 2021)
  • CF29 Significant management (30 Apr 2018 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF3 Chief Executive (1 Dec 2001 to 19 May 2014)
  • CF1 Director (1 Dec 2001 to 18 Sep 2017)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Grant Daniel Spital

  IRN GDS01101

  • CF30 Customer (6 Jan 2014 to 15 Oct 2019)
• Grant Nowell-Mitchell

  IRN GXN01040

  • CF21 Investment Adviser (31 Mar 2005 to 27 Apr 2007)
  • CF27 Investment Management (31 Mar 2005 to 27 Apr 2007)

No changes recorded yet.