GAM INTERNATIONAL MANAGEMENT LIMITED

• Principal Place of Business

  8 Finsbury Circus

  London

  EC2M 7GB

  UNITED KINGDOM

  Phone

  +4402074939990

  Web

  https://www.gam.com

• Complaints Contact

  8 Finsbury Circus

  London

  EC2M 7GB

  UNITED KINGDOM

  Phone

  +4402074939990

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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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  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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

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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, 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

  Show 4 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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.
  • · Limited to sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).

• Stockbroking

  For Eligible Counterparty, Professional, 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

  Show 5 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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.
  • · Limited to stocklending activities and in carrying on such activities to the securities listed other than "government and public security", "stakeholder pension scheme", and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · Limited to repurchase agreement activities and in carrying on these activities to the securities, "government and public security", "certificate representing certain security", and "right to or interest in investments - security", (when the latter is associated with these specified investments).

• Investment Setup

  For Eligible Counterparty, Professional, 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

  Show 3 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, 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

  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.

• Johannes Wagner

  IRN JXW01811

  • CF30 Customer (26 May 2010 to 31 Dec 2018)
• John Bennett

  IRN JXB01560

  • CF30 Customer (1 Nov 2007 to 16 Dec 2009)
  • CF1 Director (27 Mar 2003 to 27 Mar 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• John Piers Mytton

  IRN JPM01218

  • CF1 Director (1 May 2004 to 19 Dec 2004)
• John William Lambert

  IRN JWL01045

  • CF30 Customer (1 Nov 2007 to 18 Jan 2018)
  • CF27 Investment Management (24 Aug 2007 to 31 Oct 2007)
• John-Paul Hodder-Williams

  IRN JXH01973

  • CF30 Customer (1 Nov 2007 to 31 May 2018)
  • CF26 Customer Trading (2 Nov 2005 to 31 Oct 2007)
• Jon Edward Rickert Jr.

  IRN JER01088

  • CF30 Customer (7 Sep 2015 to 6 Mar 2019)
• Joseph Moloney

  IRN JXM03751

  • CF30 Customer (11 Apr 2016 to 8 Jan 2019)
• Joseph Tillekeratne

  IRN JXT00699

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Aug 2024)
• Joshua Sambrook-Smith

  IRN JXS00480

  • [FCA CF] Client dealing (since 30 Oct 2024)
• Juan Antonio Landazabal

  IRN JAL01179

  • [FCA CF] Manager of certification employee (since 21 Feb 2023)
  • [FCA CF] Client dealing (since 8 Feb 2021)
  • SMF3 Executive Director (10 Feb 2023 to 29 Mar 2023)
  • [FCA CF] Manager of certification employee (8 Feb 2021 to 20 Feb 2023)
  • CF30 Customer (19 Oct 2018 to 8 Dec 2019)

• Hyde Pacific Consulting Limited (no longer appointed)

  FRN 232525 · Appointed 1 Apr 2004 · Until 7 Mar 2017

No changes recorded yet.