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

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  • · 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.

• 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 (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 30 Aug 2012)
• 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] Material risk taker (22 Feb 2023 to 23 Feb 2024)
  • [FCA CF] Manager of certification employee (22 Feb 2023 to 23 Feb 2024)
• David John Duncan

  IRN DJD01080

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

  IRN DJJ01059

  • CF29 Significant management (15 Feb 2019 to 2 Sep 2019)
• David Richard John Kemp

  IRN DRK01027

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

  IRN DXB00148

  • [FCA CF] Client dealing (since 5 Dec 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 Loveless

  IRN DXL01355

  • CF27 Investment Management (21 Jun 2005 to 12 Dec 2006)

• Hyde Pacific Consulting Limited (no longer appointed)

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

No changes recorded yet.