HSBC Global Asset Management (UK) 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, 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, 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, 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, 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, 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, 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 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, 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, 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, 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, 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, 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, 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 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, 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, 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.

• ANDREW ROSS FINLAY

  IRN ARF01082

  • CF30 Customer (15 Jun 2011 to 9 Aug 2016)
• Aaron David Cufley

  IRN ADC01071

  • CF27 Investment Management (1 Dec 2001 to 21 Oct 2005)
• Aaron Waters

  IRN AJW01608

  • [FCA CF] Manager of certification employee (since 20 Apr 2020)
  • [FCA CF] Client dealing (since 9 Apr 2020)
  • CF30 Customer (23 Mar 2017 to 8 Dec 2019)
• Abdel alim Fourali

  IRN AXF00660

  • [FCA CF] Client dealing (since 18 Dec 2025)
• Adam Alastair Fairhead

  IRN AXF01776

  • [FCA CF] Material risk taker (12 Dec 2019 to 31 Aug 2020)
  • CF1 Director (11 Jun 2013 to 8 Dec 2019)
• Adam Ottewill

  IRN AMO01035

  • [FCA CF] Client dealing (27 Feb 2020 to 3 Sep 2025)
  • CF30 Customer (16 Oct 2014 to 8 Dec 2019)
• Adrian Bailey

  IRN APB01226

  • [FCA CF] Client dealing (25 Feb 2020 to 28 Jun 2022)
  • CF30 Customer (21 Oct 2016 to 8 Dec 2019)
• Adrian Gordon

  IRN ACG01033

  • [FCA CF] Manager of certification employee (27 Mar 2020 to 25 Jun 2020)
  • [FCA CF] Client dealing (27 Mar 2020 to 25 Jun 2020)
  • CF30 Customer (2 Sep 2016 to 8 Dec 2019)
• Aidan James Solloway

  IRN AJS01252

  • [FCA CF] Material risk taker (18 Aug 2022 to 27 May 2023)
  • [FCA CF] Significant management (18 Aug 2022 to 27 May 2023)
  • [FCA CF] Manager of certification employee (20 Feb 2020 to 27 May 2023)
  • [FCA CF] Client dealing (20 Feb 2020 to 27 May 2023)
  • CF30 Customer (5 Aug 2010 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 30 Jun 2006)
• Aiko Malte Piet Sauer

  IRN AMS01289

  • CF30 Customer (1 Nov 2007 to 14 Dec 2015)
  • CF27 Investment Management (17 Jul 2007 to 31 Oct 2007)

No changes recorded yet.