Canaccord Genuity Limited

• Principal Place of Business

  10th Floor

  88 Wood Street

  London

  EC2V 7QR

  UNITED KINGDOM

  Phone

  +4402075238000

  Web

  https://www.cgf.com

• Complaints Contact

  10th Floor

  88 Wood Street

  London

  EC2V 7QR

  UNITED KINGDOM

  Phone

  +4402075238000

• Investment Advice (no pensions)

• 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, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), 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, Retail (Investment), 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), 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.

• John Neil Phelps

  IRN JNP01020

  • CF21 Investment Adviser (1 Dec 2001 to 31 May 2006)
• John Reid

  IRN JXR00303

  • [FCA CF] Significant management (since 9 Dec 2020)
  • [FCA CF] Material risk taker (since 9 Dec 2020)
  • [FCA CF] CASS oversight function (since 9 Dec 2020)
• John Spencer

  IRN JXS01672

  • CF2 Non Executive Director (1 Dec 2001 to 8 Feb 2005)
• John Wessel

  IRN JXW02043

  • CF30 Customer (16 Nov 2012 to 29 May 2015)
• John William Truscott

  IRN JWT01029

  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 29 Sep 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 29 Sep 2006)
• Johnathon Louis Rivers

  IRN JLR01083

  • CF30 Customer (3 Dec 2012 to 10 Jul 2013)
• Jolyon David Hewer Griffiths

  IRN JDG01050

  • CF13 Finance (2 Aug 2005 to 18 Nov 2005)
• Jonathan Andrew Clapham

  IRN JAC01475

  • CF30 Customer (3 Nov 2014 to 18 Feb 2015)
• Jonathan Andrew Ward

  IRN JAW01145

  • CF30 Customer (1 Nov 2007 to 10 Jul 2013)
  • CF27 Investment Management (10 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (10 Dec 2001 to 31 Oct 2007)
• Jonathan Brown

  IRN JPB01116

  • CF30 Customer (9 May 2017 to 1 Aug 2018)

No changes recorded yet.