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.

• Daniel Mark Sheard

  IRN DMS01108

  • CF30 Customer (17 Jun 2010 to 6 Mar 2019)
• Danveer Singh Dhingra

  IRN DXS08901

  • [FCA CF] Client dealing (since 8 Feb 2021)
  • CF30 Customer (30 Nov 2018 to 8 Dec 2019)
• Darren Edward Nicholls

  IRN DEN01014

  • [FCA CF] Significant management (8 Feb 2021 to 4 Feb 2022)
  • [FCA CF] Material risk taker (8 Feb 2021 to 4 Feb 2022)
  • SMF3 Executive Director (9 Dec 2019 to 4 Feb 2022)
  • CF1 Director (25 Nov 2013 to 8 Dec 2019)
  • CF28 Systems and controls (26 Sep 2013 to 8 Dec 2019)
• Darren Marc Reece

  IRN DMR01058

  • CF30 Customer (28 May 2010 to 7 Dec 2018)
• David Charles Goodman

  IRN DCG01038

  • [FCA CF] Client dealing (8 Feb 2021 to 23 Feb 2024)
  • CF30 Customer (15 Jan 2010 to 8 Dec 2019)
• David Gary Thomas

  IRN DXT00083

  • [FCA CF] Significant management (since 8 Feb 2021)
  • [FCA CF] Material risk taker (since 8 Feb 2021)
• David Gordon Young

  IRN DGY01002

  • CF10 Compliance Oversight (6 Nov 2018 to 9 Dec 2019)
• David Ian Smith

  IRN DIS01013

  • CF30 Customer (1 Nov 2007 to 14 Nov 2016)
  • CF27 Investment Management (22 Feb 2006 to 31 Oct 2007)
  • CF1 Director (20 May 2003 to 14 Nov 2016)
• David James Gould Dowsett

  IRN DJD01084

  • [FCA CF] Significant management (22 Feb 2023 to 23 Feb 2024)
  • [FCA CF] Client dealing (22 Feb 2023 to 23 Feb 2024)
  • [FCA CF] Manager of certification employee (22 Feb 2023 to 23 Feb 2024)
  • [FCA CF] Material risk taker (22 Feb 2023 to 23 Feb 2024)
• David John Duncan

  IRN DJD01080

  • CF27 Investment Management (1 Dec 2001 to 17 Sep 2002)

• Hyde Pacific Consulting Limited (no longer appointed)

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

No changes recorded yet.