Goldman Sachs Asset Management International

• Principal Place of Business

  Plumtree Court

  25 Shoe Lane

  City Of London

  London

  EC4A 4AU

  UNITED KINGDOM

  Phone

  +4402077741000

  Web

  https://www.gsam.com

• Complaints Contact

  Plumtree Court

  25 Shoe Lane

  City Of London

  London

  EC4A 4AU

  UNITED KINGDOM

  Phone

  +4402077741000

• 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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

  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, 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Stephen Bruna

  IRN SXB03670

  • [FCA CF] Client dealing (since 22 Jun 2022)
• Stephen Carlson

  IRN SXC02110

  • CF30 Customer (7 Sep 2010 to 6 Jul 2013)
• Stephen Charles Fitzgerald

  IRN SCF01048

  • CF29 Significant management (1 Nov 2007 to 31 Mar 2008)
  • CF30 Customer (1 Nov 2007 to 31 Mar 2008)
  • CF21 Investment Adviser (13 Jun 2007 to 31 Oct 2007)
  • CF3 Chief Executive (21 Jun 2006 to 31 Mar 2008)
  • CF16 Significant Mgt (Desgntd Investment Business) (21 Jun 2006 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (21 Jun 2006 to 31 Oct 2007)
  • CF1 Director (21 Jun 2006 to 31 Mar 2008)
• Stephen Colin Barnett

  IRN SCB01106

  • CF30 Customer (1 Nov 2007 to 18 Jul 2017)
  • CF27 Investment Management (26 Mar 2004 to 31 Oct 2007)
• Stephen Davies

  IRN SXD01272

  • CF28 Systems and controls (1 Nov 2007 to 12 Feb 2009)
  • CF29 Significant management (1 Nov 2007 to 12 Feb 2009)
  • CF19 Significant Mgt (Financial Resources) (13 Sep 2004 to 31 Oct 2007)
  • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
• Stephen Ellis

  IRN SDE01012

  • CF30 Customer (1 Nov 2007 to 3 Jun 2012)
  • CF27 Investment Management (2 Jun 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (16 Mar 2006 to 31 Oct 2007)
• Stephen Goldman

  IRN SXG01308

  • CF30 Customer (1 Nov 2007 to 21 Dec 2007)
  • CF21 Investment Adviser (24 Jul 2006 to 31 Oct 2007)
• Stephen Graham Arnold

  IRN SGA01037

  • CF30 Customer (1 Nov 2007 to 4 Aug 2008)
  • CF27 Investment Management (5 May 2004 to 31 Oct 2007)
• Stephen Jacob Ryan

  IRN SJR01301

  • [FCA CF] Client dealing (9 Dec 2019 to 21 Aug 2022)
  • CF30 Customer (18 Feb 2013 to 8 Dec 2019)
• Stephen Paul Trickett

  IRN SPT01067

  • CF30 Customer (28 Mar 2011 to 23 Apr 2013)

No changes recorded yet.