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.

• David John Cast

  IRN DJC01221

  • [FCA CF] Manager of certification employee (15 Nov 2023 to 30 Jul 2024)
  • [PRA CF] Managing a material risk taker (14 Nov 2023 to 19 Jul 2024)
• David John Shaw

  IRN DXS01379

  • CF2 Non Executive Director (1 Dec 2001 to 19 Oct 2007)
• David William John Bagley

  IRN DWB01091

  • CF11 Money Laundering Reporting (22 Apr 2002 to 5 Nov 2012)
  • CF10 Compliance Oversight (22 Apr 2002 to 5 Nov 2012)
• Declan Kevin Sheehan

  IRN DKS01020

  • CF1 Director (12 Apr 2007 to 26 Oct 2007)
• Deepak Seeburrun

  IRN DXS02086

  • [FCA CF] Manager of certification employee (since 7 Sep 2023)
  • [FCA CF] Client dealing (since 30 Jun 2020)
• Dominic Noel Swan

  IRN DNS01024

  • [FCA CF] Manager of certification employee (26 Feb 2021 to 16 May 2022)
• Dominik von Scheven

  IRN DXV00028

  • [FCA CF] Client dealing (15 Feb 2021 to 2 Jun 2021)
• Douglas Jardine Flint

  IRN DJF01114

  • CF28 Systems and controls (1 Nov 2007 to 24 Jan 2011)
  • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • CF2 Non Executive Director (1 Dec 2001 to 24 Jan 2011)
• Edmund Chee Yuen Tang

  IRN EXT00106

  • [PRA CF] Managing a material risk taker (15 Mar 2022 to 13 May 2022)
  • [FCA CF] Manager of certification employee (21 Feb 2022 to 6 May 2022)
• Edmund Richard Stokes

  IRN ERS01009

  • [FCA CF] Material risk taker (10 Mar 2021 to 8 Apr 2021)
  • [FCA CF] Manager of certification employee (24 Jan 2021 to 9 Apr 2021)
  • SMF9 Chair of the Governing Body (19 May 2020 to 10 Nov 2025)
  • SMF3 Executive Director (9 Dec 2019 to 19 May 2020)
  • CF1 Director (8 Jul 2016 to 8 Dec 2019)

No changes recorded yet.