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 Paul Dawe

  IRN DPD01018

  • CF1 Director (28 Sep 2005 to 30 Oct 2007)
• David Peter MacFarlane

  IRN DPM01100

  • CF30 Customer (15 Mar 2010 to 8 Dec 2019)
• David Robert Taylor

  IRN DRT01016

  • CF27 Investment Management (1 Dec 2001 to 9 Dec 2005)
• David Sebastien Billaux

  IRN DXB01845

  • CF27 Investment Management (8 May 2006 to 31 Mar 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)
• Dean Robert Buckley

  IRN DRB01072

  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 31 Oct 2007)
• Deborah Elizabeth Gateshill

  IRN DXB00313

  • [FCA CF] Client dealing (since 14 Feb 2020)
  • CF30 Customer (11 Aug 2009 to 30 Jan 2012)
  • CF27 Investment Management (15 Jun 2004 to 31 Oct 2007)
• Deepak Seeburrun

  IRN DXS02086

  • [FCA CF] Manager of certification employee (since 18 Apr 2023)
  • [FCA CF] Client dealing (since 2 Jun 2020)
  • CF30 Customer (7 May 2015 to 8 Dec 2019)
• Delphine Lanquetot

  IRN DML01133

  • [FCA CF] Client dealing (20 Feb 2020 to 28 Apr 2023)
  • CF30 Customer (26 Sep 2016 to 8 Dec 2019)
• Demian Duwe Brasil

  IRN DDB01014

  • CF27 Investment Management (17 Oct 2003 to 19 Dec 2003)

No changes recorded yet.