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.

• Avinash Divakar Persaud

  IRN ADP01054

  • CF27 Investment Management (22 Dec 2003 to 20 Oct 2005)
• Benedict Sunderland

  IRN BXS01136

  • CF26 Customer Trading (1 Dec 2001 to 7 Jun 2006)
• Benjamin Charles Williams

  IRN BCW01025

  • CF30 Customer (1 Nov 2007 to 8 Feb 2012)
  • CF27 Investment Management (26 Oct 2002 to 31 Oct 2007)
• Benjamin John Sears

  IRN BXS01529

  • CF30 Customer (17 Sep 2008 to 9 Jun 2014)
• Benjamin Matthew Edwards

  IRN BME01011

  • [FCA CF] Client dealing (8 Feb 2021 to 10 Dec 2021)
  • [FCA CF] Manager of certification employee (8 Feb 2021 to 10 Dec 2021)
  • CF30 Customer (1 Jun 2017 to 8 Dec 2019)
• Beyla Ziv-Guest

  IRN BXZ01003

  • CF30 Customer (1 Nov 2007 to 12 Sep 2008)
  • CF21 Investment Adviser (23 Jan 2002 to 31 Oct 2007)
• Bradley Silva

  IRN BXS00198

  • [FCA CF] Client dealing (1 Feb 2023 to 3 Nov 2023)
• Bridget Anne Saunders

  IRN BXS00135

  • [FCA CF] Manager of certification employee (12 Sep 2022 to 1 Dec 2023)
  • [FCA CF] Significant management (8 Feb 2021 to 12 Sep 2022)
  • [FCA CF] Material risk taker (8 Feb 2021 to 1 Dec 2023)
• CATALINA SAPIAINS

  IRN CXS01993

  • CF30 Customer (3 Dec 2012 to 16 May 2019)
• Candida Lahaise

  IRN CXW01209

  • CF30 Customer (1 Nov 2007 to 28 Nov 2008)
  • CF21 Investment Adviser (30 Jun 2005 to 31 Oct 2007)
  • CF27 Investment Management (21 Jul 2004 to 30 Jun 2005)

• Hyde Pacific Consulting Limited (no longer appointed)

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

No changes recorded yet.