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

  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.

• 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

  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.

• Nicholas Philip Hatch

  IRN NPH01022

  • CF30 Customer (2 Jun 2014 to 15 Mar 2017)
• Nicholas Robert Thibeault

  IRN NRT01053

  • CF30 Customer (27 Aug 2016 to 10 Oct 2016)
• Nicholas Robert Woodifield

  IRN NRW01051

  • CF30 Customer (1 Nov 2007 to 22 Oct 2012)
  • CF21 Investment Adviser (28 Mar 2002 to 31 Oct 2007)
• Nicholas Rupert Berry Oddie

  IRN NXO11965

  • [FCA CF] Client dealing (9 Dec 2020 to 22 Oct 2021)
  • CF30 Customer (27 Feb 2019 to 8 Dec 2019)
• Nicholas Shane Montoute

  IRN NXM01823

  • CF30 Customer (17 Nov 2014 to 6 Sep 2016)
• Nicola Claire Mitford-Slade

  IRN NCM01026

  • CF10 Compliance Oversight (26 Mar 2012 to 27 Mar 2015)
  • CF11 Money Laundering Reporting (26 Mar 2012 to 27 Mar 2015)
• Nicolas Brito

  IRN NXB01516

  • CF30 Customer (8 Nov 2012 to 4 Mar 2013)
• Nicolas Marmurek

  IRN NXM01281

  • [FCA CF] Client dealing (21 Sep 2022 to 25 Oct 2022)
• Nigel Andrew Parson

  IRN NAP01040

  • CF30 Customer (19 Aug 2014 to 8 Dec 2019)
• Nigel Lincoln Sedgley

  IRN NLS01014

  • CF30 Customer (1 Nov 2007 to 17 May 2017)
  • CF21 Investment Adviser (26 Jun 2002 to 31 Oct 2007)

No changes recorded yet.