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

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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, 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.

• Cara Jacqueline Craddock

  IRN CJM01318

  • CF21 Investment Adviser (21 Oct 2005 to 3 Apr 2007)
• Carinne Sophie Withey

  IRN CSW01062

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 Dec 2022)
  • CF2 Non Executive Director (27 Nov 2012 to 8 Dec 2019)
• Carl Bogdan

  IRN CMB01160

  • [FCA CF] Manager of certification employee (since 5 Mar 2024)
  • [FCA CF] Client dealing (since 1 Apr 2023)
• Carlo Pagni

  IRN CXP01603

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Nov 2023)
  • CF30 Customer (26 Mar 2013 to 8 Dec 2019)
• Carlos Sanchez Fernandez

  IRN CXS01705

  • CF30 Customer (1 Nov 2007 to 27 Feb 2008)
  • CF21 Investment Adviser (10 Oct 2007 to 31 Oct 2007)
• Carolina Minio-Paluello

  IRN CXM01231

  • CF30 Customer (1 Nov 2007 to 5 Nov 2009)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Caroline Bradley

  IRN CXB01444

  • CF30 Customer (1 Nov 2007 to 18 Jul 2008)
  • CF21 Investment Adviser (10 Nov 2003 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (12 Oct 2002 to 7 Nov 2003)
• Caroline Fraser

  IRN CXF06224

  • [FCA CF] Material risk taker (1 Jan 2023 to 31 May 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Jan 2023)
  • CF11 Money Laundering Reporting (18 Dec 2018 to 8 Dec 2019)
• Caroline Helen Taylor

  IRN CHT01012

  • CF29 Significant management (1 Nov 2007 to 31 May 2012)
  • CF30 Customer (1 Nov 2007 to 31 May 2012)
  • CF1 Director (11 Apr 2005 to 18 May 2012)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Oct 2007)
• Caroline Lewis

  IRN CXS01305

  • CF21 Investment Adviser (16 Dec 2002 to 14 Mar 2007)

No changes recorded yet.