Gen II Fund Services (UK) Limited

• Principal Place of Business

  Gen II Services (UK) Ltd

  Broughton House 6-8

  Sackville Street

  London

  Westminster

  W1S 3DG

  UNITED KINGDOM

  Phone

  +4402045298835

  Web

  https://www.gen2fund.com

• Complaints Contact

  Gen II Services (UK) Ltd

  Broughton House 6-8

  Sackville Street

  London

  Westminster

  W1S 3DG

  UNITED KINGDOM

  Phone

  +4402080733659

• Private Fund Guardian

  Show 5 limitations Hide limitations

  • · The firm may act as trustee or depositary of AIFs of the kind defined in FUND 3.11.12R
  • · Limited to the specified depositary functions
  • · The firm may act as trustee or depositary of non-EEA AIFs performing the cash monitoring function under Article 21(7) of AIFMD
  • · The firm may act as trustee or depositary of non-EEA AIFs performing the safekeeping function under Article 21(8)(b) of AIFMD
  • · The firm may act as trustee or depositary of non-EEA AIFs performing the oversight function under Article 21(9) of AIFMD

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Rights to or interests in investments (Security), Unit

  Show 3 limitations Hide limitations

  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than 'stakeholder pension scheme', 'rights to or interests in investments - security', (when the latter is associated with this specified investment), 'life policy', 'funeral plan contract' and 'rights to or interest in investment - contractually based investment', (when the latter is associated with these specified investment) and to the customer type "Professional Client".

• 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, 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, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to unregulated collective investment scheme share exchange operations and, in carrying on such operations to the specified investments listed other than, all contractually based investments.
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, 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 Professional, Certificates representing certain security, 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Unit

  Show 2 limitations Hide limitations

  • · Limited to unregulated collective investment scheme box operations and in carrying on such operations to the specified investment types "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)", and "right to or interest in investments - contractually based investments", (when the latter is associated with these specified investments).
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to transaction-only activities.
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · 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.

• Manages Your Portfolio

  For Professional, Certificates representing certain security, 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, 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.

• Bruno Obasi

  IRN BXO17121

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 May 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 3 May 2023)
  • CF10 Compliance Oversight (8 Oct 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (8 Oct 2019 to 8 Dec 2019)
• Chantelle Violet Elizabeth Gibson

  IRN CXG00634

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Oct 2025)
• Dominic Joseph Gerard Reilly

  IRN DGR01031

  • CF1 Director (1 Dec 2001 to 1 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 1 Oct 2007)
  • CF13 Finance (1 Dec 2001 to 1 Oct 2007)
• James Maunder Taylor

  IRN JWM01126

  • SMF3 Executive Director (9 Dec 2019 to 31 Aug 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2021)
  • CF1 Director (22 Jun 2009 to 8 Dec 2019)
  • CF30 Customer (5 Jun 2008 to 8 Dec 2019)
• Martin Reade Lambert

  IRN MXL00401

  • SMF3 Executive Director (21 Apr 2022 to 15 Aug 2024)
• Neil Townson

  IRN NDT01043

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (15 Feb 2019 to 8 Dec 2019)
  • CF30 Customer (20 Dec 2018 to 8 Dec 2019)
• Patrick Dominic Harnan

  IRN PDH01050

  • CF1 Director (1 Jan 2004 to 5 Apr 2007)
  • CF27 Investment Management (1 Dec 2001 to 17 Oct 2003)
• Paul Justin Windsor

  IRN PJW01368

  • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2022)
  • CF1 Director (5 Apr 2018 to 8 Dec 2019)
• Simon Drewett

  IRN SDD01042

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Oct 2023)
  • SMF3 Executive Director (9 Dec 2019 to 22 Sep 2023)
  • CF10a CASS Oversight function (11 Jun 2012 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (2 Feb 2007 to 8 Dec 2019)
  • CF27 Investment Management (20 Oct 2006 to 31 Oct 2007)
• Stephen Paul Mitchell

  IRN SPM01147

  • SMF16 Compliance Oversight (since 9 Jan 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Jan 2023 to 1 Oct 2025)

No changes recorded yet.