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.

• Gary John Robertson

  IRN GJR01099

  • [FCA CF] Manager of certification employee (11 May 2022 to 11 Aug 2022)
  • [FCA CF] Material risk taker (9 Mar 2020 to 7 Aug 2020)
  • [FCA CF] CASS oversight function (9 Mar 2020 to 1 Aug 2022)
  • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
  • CF29 Significant management (15 Aug 2011 to 8 Dec 2019)
• Gary John Skedge

  IRN GJS01139

  • CF26 Customer Trading (6 Nov 2006 to 29 Jun 2007)
  • CF27 Investment Management (10 Oct 2006 to 29 Jun 2007)
• Gavin Munroe

  IRN GXM31627

  • [FCA CF] Significant management (21 Feb 2022 to 10 Aug 2022)
  • [FCA CF] Material risk taker (13 Sep 2021 to 10 Aug 2022)
• Gavin Royston Tillman

  IRN GXT01159

  • CF30 Customer (14 Jan 2008 to 30 Nov 2008)
• Geoffrey Paul Lunt

  IRN GPL01012

  • CF30 Customer (5 Aug 2010 to 17 Jan 2012)
  • CF27 Investment Management (15 Oct 2003 to 30 Jun 2006)
• Geoffrey Tatlock Cheetham

  IRN GTC01017

  • CF1 Director (5 Aug 2004 to 13 Jan 2006)
  • CF21 Investment Adviser (14 Apr 2003 to 13 Jan 2006)
• George Alasdair Prescott

  IRN GAP01041

  • CF30 Customer (19 Jan 2009 to 25 Oct 2010)
• George Efthimiou

  IRN GAE01017

  • [FCA CF] Manager of certification employee (11 Dec 2019 to 7 Jan 2020)
  • CF1 Director (12 Mar 2010 to 8 Dec 2019)
  • CF29 Significant management (1 Nov 2007 to 12 Mar 2010)
  • CF19 Significant Mgt (Financial Resources) (6 Feb 2006 to 31 Oct 2007)
• George Taylor

  IRN GMT01055

  • [FCA CF] Manager of certification employee (19 May 2020 to 21 Sep 2020)
  • [FCA CF] Client dealing (28 Feb 2020 to 21 Sep 2020)
  • CF30 Customer (9 Feb 2016 to 8 Dec 2019)
• George Tzallas-Regas

  IRN GXT01403

  • [FCA CF] Client dealing (since 20 Dec 2022)

No changes recorded yet.