HSBC Alternative Investments Limited

• Principal Place of Business

  8 Canada Square

  London

  E14 5HQ

  UNITED KINGDOM

  Phone

  +442380722582

  Web

  http://www.assetmanagement.hsbc.com/uk

• Complaints Contact

  Forum 1

  The Forum

  Parkway

  Whiteley

  Fareham

  Hampshire

  PO15 7PA

  UNITED KINGDOM

  Phone

  +442380722582

• Investment Advice (no pensions)

  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 investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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.
  • · Limited to advisory-only activities.

• 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, 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 3 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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.

• Stockbroking

  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 3 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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, 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 3 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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, 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

  • · 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.

• Adam David Bagshaw

  IRN AXB01468

  • [PRA CF] Managing a material risk taker (16 Sep 2021 to 24 Jun 2022)
  • [FCA CF] Manager of certification employee (22 Mar 2021 to 6 Jul 2022)
• Adeel Choudhry

  IRN AXC01103

  • [FCA CF] Client dealing (since 27 Jun 2023)
• Adrian Bailey

  IRN APB01226

  • [FCA CF] Client dealing (9 Jun 2020 to 28 Jun 2022)
• Adrian Gordon

  IRN ACG01033

  • [FCA CF] Manager of certification employee (16 Jun 2020 to 25 Jun 2020)
  • [FCA CF] Client dealing (27 Mar 2020 to 25 Jun 2020)
• Alan Stuart Ramsay

  IRN ASR01035

  • CF11 Money Laundering Reporting (1 Dec 2001 to 7 Dec 2012)
  • CF10 Compliance Oversight (1 Dec 2001 to 21 Aug 2013)
• Alan Yau

  IRN AXY01043

  • [FCA CF] Client dealing (9 Jun 2020 to 29 May 2024)
• Alexander Grievson

  IRN AMG01155

  • [FCA CF] Manager of certification employee (since 13 Mar 2024)
  • [FCA CF] Client dealing (since 20 Apr 2020)
  • [FCA CF] Manager of certification employee (14 Dec 2022 to 6 Apr 2023)
• Alexandru Vladimir Gaitan

  IRN AVG01014

  • [FCA CF] Client dealing (24 Feb 2020 to 27 Aug 2021)
  • CF30 Customer (10 Aug 2015 to 8 Dec 2019)
• Alison Claire McMillan-Puri

  IRN ACM01211

  • CF11 Money Laundering Reporting (1 Jun 2010 to 22 Apr 2011)
• Alison Hatcher

  IRN AXH01774

  • [PRA CF] Managing a material risk taker (24 Jun 2022 to 10 Feb 2023)
  • [FCA CF] Manager of certification employee (17 May 2022 to 3 Mar 2023)

No changes recorded yet.