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

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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 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.

• Carol Elaine Greenwood

  IRN CXG00321

  • SMF16 Compliance Oversight (since 29 Aug 2024)
  • [PRA CF] Managing a material risk taker (19 Aug 2022 to 14 Nov 2023)
  • [FCA CF] Significant management (16 Aug 2022 to 18 Dec 2024)
  • [FCA CF] Manager of certification employee (16 Aug 2022 to 8 Nov 2023)
  • [FCA CF] Material risk taker (16 Aug 2022 to 3 Jan 2025)
• Cassandra Mansen Williams

  IRN CXW00468

  • [FCA CF] Manager of certification employee (15 Jan 2025 to 24 Jan 2025)
  • [PRA CF] Managing a material risk taker (19 Dec 2024 to 17 Feb 2025)
• Catherine Bussery

  IRN CXB02036

  • CF11 Money Laundering Reporting (18 Apr 2012 to 1 Nov 2013)
• Charles Francois Heric Reynard

  IRN CXR00140

  • [FCA CF] Client dealing (since 1 Jul 2022)
  • [FCA CF] Client dealing (15 Feb 2021 to 12 Jul 2021)
• Che Mei Chan

  IRN CMC01217

  • CF28 Systems and controls (7 Jan 2013 to 5 Aug 2014)
• Christine Knight-Maunder

  IRN CXK31605

  • [FCA CF] Manager of certification employee (28 Feb 2022 to 11 Aug 2022)
• Christopher David Allen

  IRN CDA01049

  • CF1 Director (17 Mar 2010 to 16 May 2017)
  • CF3 Chief Executive (17 Mar 2010 to 9 Jan 2013)
  • CF30 Customer (21 Dec 2007 to 9 Jan 2013)
• Christopher Mark Ullathorne

  IRN CMU01005

  • [FCA CF] Client dealing (since 7 Mar 2024)
  • [FCA CF] Client dealing (14 Dec 2022 to 22 Mar 2023)
• Christopher Martin Meares

  IRN CMM01066

  • CF2 Non Executive Director (1 Dec 2001 to 8 Feb 2007)
• Christopher Paul Gill

  IRN CPG01012

  • CF14 Risk Assessment (1 Dec 2001 to 24 Jan 2003)

No changes recorded yet.