GAM London 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, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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.

• 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, Retail (Investment), 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), 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.

• Andrew Alex Stuart

  IRN AAS01028

  • CF30 Customer (27 Nov 2017 to 8 Dec 2019)
• Andrew Barry Jenkins

  IRN ABJ01015

  • CF30 Customer (26 Oct 2010 to 11 Jul 2018)
• Andrew Charles Green

  IRN ACG01032

  • CF30 Customer (1 Nov 2007 to 16 May 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Andrew Hanges

  IRN AXH01251

  • CF1 Director (4 Jul 2005 to 18 May 2018)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 26 Oct 2018)
• Andrew James Alexander MacDonald

  IRN AJM01240

  • CF10 Compliance Oversight (2 Mar 2002 to 5 Feb 2004)
  • CF11 Money Laundering Reporting (2 Mar 2002 to 5 Feb 2004)
  • CF15 Internal Audit (1 Dec 2001 to 18 Feb 2002)
• Andrew James Simpkin

  IRN AJS01257

  • CF27 Investment Management (1 Dec 2001 to 20 Feb 2002)
• Andrew Leonard Pratt

  IRN AXP18996

  • [FCA CF] Significant management (8 Feb 2021 to 22 Mar 2022)
  • [FCA CF] Material risk taker (8 Feb 2021 to 22 Mar 2022)
  • CF28 Systems and controls (8 Nov 2019 to 8 Dec 2019)
• Andrew Michael Wills

  IRN AMW01069

  • CF28 Systems and controls (1 Nov 2007 to 13 Jul 2009)
  • CF1 Director (23 May 2003 to 1 Apr 2010)
  • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
• Andrew Suthon Edwards

  IRN ASE01008

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (11 Jun 2003 to 31 Oct 2007)
• Anisa Ga Ying Shek

  IRN AGS01202

  • [FCA CF] Client dealing (8 Feb 2021 to 31 May 2024)
  • CF30 Customer (30 Aug 2018 to 8 Dec 2019)

• Hyde Pacific Consulting Limited (no longer appointed)

  FRN 232525 · Appointed 30 Mar 2004 · Until 30 Oct 2007

No changes recorded yet.