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

  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".
  • · 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

  Show 1 limitation Hide limitations

  • · 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.

• David Joseph Jacob

  IRN DJJ01059

  • CF29 Significant management (15 Feb 2019 to 2 Sep 2019)
• David Morrison

  IRN DXM01517

  • CF30 Customer (1 Nov 2007 to 28 Jun 2013)
  • CF27 Investment Management (16 Oct 2007 to 31 Oct 2007)
• David Richard John Kemp

  IRN DRK01027

  • SMF1 Chief Executive (since 15 Feb 2024)
  • SMF3 Executive Director (since 15 Feb 2024)
  • [FCA CF] Manager of certification employee (since 1 Feb 2024)
  • [FCA CF] Significant management (since 1 Feb 2024)
  • [FCA CF] Material risk taker (since 1 Feb 2024)
  • SMF16 Compliance Oversight (17 Dec 2019 to 3 Aug 2024)
• David William Barker

  IRN DXB00148

  • [FCA CF] Client dealing (since 7 May 2025)
• Deborah Dalzell

  IRN DXD00180

  • [FCA CF] Material risk taker (1 Feb 2023 to 31 Jan 2024)
  • [FCA CF] Manager of certification employee (30 Mar 2021 to 31 Jan 2024)
• Denise Alexandra Prime

  IRN DAP01069

  • [FCA CF] Client dealing (8 Feb 2021 to 22 Aug 2023)
  • CF30 Customer (19 Apr 2010 to 8 Dec 2019)
• Denise Loveless

  IRN DXL01355

  • CF30 Customer (1 Nov 2007 to 31 Dec 2008)
  • CF27 Investment Management (21 Jun 2005 to 31 Oct 2007)
• Derek Wilson

  IRN DXW00188

  • [FCA CF] Material risk taker (since 3 Oct 2022)
  • [FCA CF] Significant management (since 31 Mar 2021)
  • [FCA CF] Manager of certification employee (8 Feb 2021 to 4 Feb 2022)
• Despoina Tripylioti

  IRN DXT01438

  • CF30 Customer (16 May 2016 to 31 Aug 2018)
• Duncan Robert Edward Bulgin

  IRN DRB01079

  • [FCA CF] Client dealing (since 20 Sep 2024)

• Hyde Pacific Consulting Limited (no longer appointed)

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

No changes recorded yet.