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.

• Caroline Maree Gorman

  IRN CMG01100

  • CF30 Customer (22 Feb 2010 to 17 Oct 2017)
• Catherine Gail Cripps

  IRN CGC01050

  • CF30 Customer (1 Nov 2007 to 8 Jul 2011)
  • CF27 Investment Management (11 Dec 2006 to 31 Oct 2007)
• Cato Henning Stonex

  IRN CHS01029

  • CF30 Customer (11 Aug 2016 to 31 Mar 2017)
• Charles Edmund Francis Naylor

  IRN CXN00029

  • [FCA CF] Significant management (6 Feb 2022 to 15 May 2024)
• Charles William Hepworth

  IRN CWH01030

  • [FCA CF] Client dealing (8 Feb 2021 to 30 Jun 2024)
  • [FCA CF] Manager of certification employee (8 Feb 2021 to 30 Jun 2024)
  • CF30 Customer (29 Aug 2012 to 8 Dec 2019)
• Chi Keong Lee

  IRN LXC01393

  • CF30 Customer (11 Mar 2008 to 11 Nov 2014)
• Christopher Beevor

  IRN CXB00402

  • SMF16 Compliance Oversight (3 Aug 2024 to 17 Nov 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Aug 2022 to 10 Aug 2024)
  • [FCA CF] Significant management (30 Mar 2021 to 9 Aug 2022)
• Christopher Douglas Morrison

  IRN CDM01103

  • [FCA CF] Client dealing (8 Feb 2021 to 5 Jan 2024)
  • CF30 Customer (7 Jun 2016 to 8 Dec 2019)
• Christopher John Sellers

  IRN CJS01330

  • [FCA CF] Client dealing (8 Feb 2021 to 3 Feb 2025)
  • CF30 Customer (2 Jan 2018 to 8 Dec 2019)
• Christopher Legg

  IRN CXL01293

  • [FCA CF] Client dealing (8 Feb 2021 to 3 Feb 2025)
  • CF30 Customer (16 Nov 2017 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.