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.

• Julian Michael Howard

  IRN JMH01166

  • [FCA CF] Client dealing (since 8 Feb 2021)
  • [FCA CF] Manager of certification employee (8 Feb 2021 to 31 Jan 2025)
  • CF30 Customer (18 May 2016 to 8 Dec 2019)
• Katherine Moretti

  IRN KXM01484

  • CF30 Customer (7 Sep 2015 to 8 Dec 2019)
• Katherine Roach

  IRN KXR00359

  • [FCA CF] Significant management (since 6 Sep 2024)
  • [FCA CF] Manager of certification employee (since 6 Sep 2024)
  • [FCA CF] Client dealing (since 6 Sep 2024)
• Keir Boley

  IRN KXB01192

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Keith Allen Guthrie

  IRN KAG01026

  • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
  • CF27 Investment Management (9 Mar 2006 to 31 Oct 2007)
• Kevin Kruczynski

  IRN KXK01618

  • [FCA CF] Client dealing (8 Feb 2021 to 8 Apr 2024)
  • CF30 Customer (5 Aug 2016 to 8 Dec 2019)
• Kishen Pattani

  IRN KXP00189

  • [FCA CF] Material risk taker (since 1 Feb 2023)
  • [FCA CF] Significant management (since 31 Mar 2021)
• Laura Hoi-Yew Mak

  IRN LHM01033

  • [FCA CF] Client dealing (8 Feb 2021 to 10 Sep 2021)
  • CF30 Customer (24 Dec 2015 to 8 Dec 2019)
• Lawrence Howell Hatheway

  IRN LHH01004

  • CF1 Director (17 Mar 2017 to 6 Mar 2019)
  • CF30 Customer (16 May 2016 to 8 Dec 2019)
• Lesley Alexandra Kaye

  IRN LAL01019

  • CF30 Customer (1 Nov 2007 to 28 Jun 2013)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

• Hyde Pacific Consulting Limited (no longer appointed)

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

No changes recorded yet.