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

  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, 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.

• David Francis Lai

  IRN DFL01018

  • [FCA CF] Manager of certification employee (8 Nov 2021 to 7 Mar 2024)
  • [FCA CF] Client dealing (3 Mar 2020 to 31 Mar 2024)
  • CF30 Customer (12 Aug 2010 to 8 Dec 2019)
• David Frederick Clewer

  IRN DFC00006

  • CF27 Investment Management (4 Feb 2004 to 1 Oct 2004)
• David Henry Burnett

  IRN DHB01039

  • CF20 Significant Mgt (Settlements) (7 Oct 2003 to 20 Jan 2006)
• David James Carter

  IRN DJC01186

  • [FCA CF] Client dealing (since 19 Jun 2020)
  • CF30 Customer (3 Sep 2010 to 8 Dec 2019)
  • CF26 Customer Trading (1 Dec 2001 to 30 Jun 2006)
• David John Cast

  IRN DJC01221

  • [FCA CF] Manager of certification employee (11 Dec 2019 to 8 Sep 2020)
  • [PRA CF] Managing a material risk taker (11 Dec 2019 to 8 Sep 2020)
• David John McNay

  IRN DJM01603

  • CF30 Customer (9 Dec 2011 to 8 Dec 2019)
• David John Shaw

  IRN DXS01379

  • CF2 Non Executive Director (1 Dec 2001 to 19 Oct 2007)
• David Meechie

  IRN DCM01137

  • [FCA CF] Material risk taker (9 Oct 2020 to 9 Sep 2021)
• David Michael Rumsey

  IRN DMR01056

  • CF30 Customer (9 May 2011 to 12 Feb 2015)
• David Miladinovic

  IRN DXM00737

  • [FCA CF] Client dealing (19 Jul 2022 to 4 Oct 2024)

No changes recorded yet.