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.

• Jennifer Rosalind Paterson

  IRN JRP01116

  • SMF10 Chair of the Risk Committee (9 Dec 2019 to 31 Jul 2024)
  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 10 Dec 2019)
  • CF2 Non Executive Director (27 Nov 2018 to 8 Dec 2019)
• Jennifer Sands

  IRN JXS01475

  • CF30 Customer (14 Aug 2013 to 25 Aug 2016)
• Jeremy Radley

  IRN JPR01114

  • [FCA CF] Manager of certification employee (27 Aug 2020 to 6 Jul 2021)
  • [FCA CF] Material risk taker (20 Dec 2019 to 31 Jan 2022)
  • CF28 Systems and controls (30 Oct 2015 to 11 Oct 2016)
• Jerry Samet

  IRN JXS00212

  • [FCA CF] Client dealing (10 Jul 2020 to 19 Jan 2022)
  • [FCA CF] Manager of certification employee (10 Jul 2020 to 19 Jan 2022)
• Jiateng Gu

  IRN JXG16450

  • [FCA CF] Manager of certification employee (since 21 Nov 2022)
  • [FCA CF] Client dealing (since 4 Feb 2020)
  • CF30 Customer (18 Jul 2019 to 8 Dec 2019)
• Jingyan Sun

  IRN JXS04434

  • [FCA CF] Client dealing (since 26 Mar 2026)
• Joanna Alexiou

  IRN JXA01560

  • CF30 Customer (5 Jan 2012 to 17 Jun 2013)
• Joanna Mary Munro

  IRN JMM01101

  • [FCA CF] Significant management (2 Jul 2025 to 31 Mar 2026)
  • SMF3 Executive Director (19 Mar 2022 to 16 May 2024)
  • [FCA CF] Material risk taker (9 Oct 2020 to 19 Mar 2022)
  • [FCA CF] Manager of certification employee (11 Dec 2019 to 19 Mar 2022)
  • CF2 Non Executive Director (6 Jan 2015 to 23 Sep 2019)
  • CF1 Director (12 Jun 2008 to 20 May 2011)
  • CF29 Significant management (1 Nov 2007 to 26 Sep 2008)
  • CF16 Significant Mgt (Desgntd Investment Business) (7 Jun 2006 to 31 Oct 2007)
• Joanne Louise Rands

  IRN JLM01091

  • CF27 Investment Management (15 Jun 2004 to 30 Jun 2006)
• Johann Christiaan Heuronimus Bornman

  IRN JCB01270

  • CF30 Customer (13 Nov 2009 to 21 May 2014)

No changes recorded yet.