EFG Asset Management (UK) Limited

• Principal Place of Business

  116 Park Street

  London

  W1K 6AP

  UNITED KINGDOM

  Phone

  +4402074919111

  Web

  https://www.efginternational.com

• Complaints Contact

  116 Park Street

  London

  W1K 6AP

  UNITED KINGDOM

  Phone

  +4402074123824

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Structured Deposits, 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.

• 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, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Structured Deposits, 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, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, 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, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Structured Deposits, 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, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Structured Deposits, 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.

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Structured Deposits, 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.

• Michael William Riley

  IRN MWR01024

  • CF11 Money Laundering Reporting (4 Jul 2013 to 12 Feb 2014)
• Michalis-Dimitrios Rikos

  IRN MXR02133

  • CF30 Customer (28 Feb 2013 to 7 Feb 2019)
• Mozamil Afzal

  IRN MXA01157

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (9 Dec 2019 to 1 Jan 2026)
  • CF1 Director (4 May 2011 to 8 Dec 2019)
  • CF3 Chief Executive (4 May 2011 to 8 Dec 2019)
  • CF30 Customer (4 May 2011 to 8 Dec 2019)
• Niamh Mary Farrell

  IRN NMF01028

  • CF10 Compliance Oversight (16 Oct 2012 to 20 Jun 2013)
• Nicholas Scott Carpenter

  IRN NSC01053

  • [FCA CF] Material risk taker (since 5 Aug 2025)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
• Nicola Joanne McCabe

  IRN NJM00056

  • Director of firm who is not a certification employee or a SMF manager (1 Nov 2023 to 12 Jan 2026)
• Oisin O'Leary

  IRN OXO01149

  • [FCA CF] Client dealing (since 1 Feb 2022)
• Oscar Manuel Blanco

  IRN OXB00164

  • [FCA CF] Client dealing (since 9 Jul 2024)
• Patrick Zbinden

  IRN PXZ01046

  • SMF9 Chair of the Governing Body (9 Dec 2019 to 30 Jun 2021)
  • CF2 Non Executive Director (4 May 2011 to 8 Dec 2019)
• Paul Gary Bougourd

  IRN PGB01119

  • CF30 Customer (4 May 2011 to 20 Sep 2011)

No changes recorded yet.