Canada Life Asset Management Limited

• Principal Place of Business

  Canada Life Asset Management Limited

  Level 37

  22 Bishopsgate

  London

  EC2N 4BQ

  UNITED KINGDOM

  Phone

  +4403456060708

  Web

  https://www.canadalifeassetmanagement.co.uk

• Complaints Contact

  Level 37

  22 Bishopsgate

  London

  EC2N 4BQ

  UNITED KINGDOM

  Phone

  +443456060708

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), Rolling spot forex contract, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), Rolling spot forex contract, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), Rolling spot forex contract, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Karan Kapoor

  IRN KXK00152

  • [FCA CF] Client dealing (1 Jul 2021 to 2 May 2023)
• Keily Vanstone

  IRN KXP01427

  • [FCA CF] Significant management (since 29 Jan 2024)
• Keith Marshall

  IRN KEM01063

  • [FCA CF] Material risk taker (8 Jan 2021 to 26 Feb 2021)
  • [FCA CF] Significant management (8 Jan 2021 to 26 Feb 2021)
  • CF28 Systems and controls (21 Feb 2018 to 8 Dec 2019)
• Kelvan Peter Swinnerton

  IRN KPS01053

  • CF10 Compliance Oversight (28 Oct 2010 to 8 Apr 2011)
• Kevin Bateman

  IRN KDB01044

  • [FCA CF] Manager of certification employee (29 Jan 2021 to 30 Nov 2025)
  • [FCA CF] Functions requiring qualifications (29 Jan 2021 to 30 Nov 2025)
  • CF30 Customer (31 Jul 2012 to 8 Dec 2019)
• Kim Siong Lee

  IRN KSL01006

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (9 May 2006 to 31 Oct 2007)
• Kirstyn Sherwood

  IRN KXS02367

  • [FCA CF] Material risk taker (18 Jan 2021 to 21 Dec 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Dec 2023)
  • CF11 Money Laundering Reporting (25 Mar 2019 to 8 Dec 2019)
• Kshitij Dhari Sinha

  IRN KDS01052

  • 14. Managing investments
  • [FCA CF] Client dealing (since 21 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 21 Jan 2021)
  • CF30 Customer (10 Sep 2016 to 8 Dec 2019)
• Lara Mary Bealing

  IRN LXB00093

  • [FCA CF] Significant management (11 Jan 2021 to 17 Nov 2023)
• Lauren Morris-Fox

  IRN LXM00695

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 May 2024)
  • [FCA CF] Material risk taker (since 7 May 2024)

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