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.

• Barbara Hedwig Rupf Bee

  IRN BXR01204

  • CF29 Significant management (1 Nov 2007 to 1 Nov 2007)
  • CF3 Chief Executive (8 Nov 2005 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (8 Nov 2005 to 31 Oct 2007)
  • CF1 Director (8 Nov 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (8 Nov 2005 to 9 Dec 2005)
  • CF16 Significant Mgt (Desgntd Investment Business) (8 Nov 2005 to 31 Oct 2007)
• Berit Christiani

  IRN BXC00057

  • SMF3 Executive Director (since 6 Apr 2023)
  • [FCA CF] Material risk taker (11 Aug 2020 to 6 Apr 2023)
  • [FCA CF] Significant management (18 May 2020 to 6 Apr 2023)
• Bernard Andersen

  IRN BXA01054

  • CF2 Non Executive Director (1 Dec 2001 to 10 Dec 2002)
• Boudewijn Willem Jansen

  IRN BWJ01011

  • CF30 Customer (9 Jun 2009 to 30 Apr 2010)
  • CF8 Apportionment and Oversight (29 Jul 2005 to 1 Jun 2006)
• Bradley Ross-Williams

  IRN BXR01224

  • CF30 Customer (29 Jan 2008 to 30 Jun 2012)
• Brian Heyworth

  IRN RBH01020

  • [FCA CF] Manager of certification employee (12 May 2020 to 5 Nov 2020)
  • CF2 Non Executive Director (1 Dec 2017 to 8 Dec 2019)
• Brian Robertson

  IRN BXR01193

  • CF28 Systems and controls (5 Jul 2010 to 22 Feb 2011)
  • CF14 Risk Assessment (31 Dec 2004 to 20 Dec 2004)
• Bruce Alan Fletcher

  IRN BAF01029

  • CF28 Systems and controls (19 Jan 2011 to 19 Dec 2012)
• Caleb Douglas Burnett Mercer

  IRN CDM01063

  • CF30 Customer (3 Jun 2011 to 6 Dec 2011)
• Cameron Piening

  IRN CXP00107

  • [FCA CF] Client dealing (10 Mar 2020 to 10 Sep 2020)

No changes recorded yet.