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.

• Jonathan Edward Brownlee

  IRN JEB01132

  • CF11 Money Laundering Reporting (1 Dec 2001 to 4 May 2010)
• Jonathan Henry Dilley

  IRN JHD01102

  • [FCA CF] Client dealing (13 Mar 2020 to 11 Apr 2022)
  • CF30 Customer (26 Jun 2019 to 8 Dec 2019)
• Jonathan Iain Curry

  IRN JIC01015

  • SMF3 Executive Director (since 17 May 2024)
  • SMF18 Other Overall Responsibility (15 Feb 2023 to 16 May 2024)
  • [FCA CF] Manager of certification employee (7 Apr 2022 to 15 Feb 2023)
  • [PRA CF] Managing a material risk taker (16 Sep 2021 to 12 Feb 2022)
  • [FCA CF] Material risk taker (16 Jun 2020 to 7 Aug 2020)
  • [FCA CF] Client dealing (16 Jun 2020 to 19 Jan 2022)
  • CF30 Customer (3 May 2013 to 26 Sep 2016)
• Jonathan Michael Longstaff

  IRN JML01072

  • CF30 Customer (20 Jun 2008 to 6 Dec 2012)
• Jonathan Robert Calvert-Davies

  IRN JRC01271

  • [PRA CF] Managing a material risk taker (12 Feb 2022 to 15 Mar 2022)
• Jonathan Samson Rebak

  IRN JSR01038

  • CF30 Customer (1 Nov 2007 to 26 Nov 2015)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Jonathon Sellars

  IRN JMS01473

  • [FCA CF] Client dealing (since 14 Feb 2020)
  • CF30 Customer (26 Nov 2014 to 8 Dec 2019)
• Jorge Emilio Huitron

  IRN JEH01212

  • [FCA CF] Manager of certification employee (14 Sep 2023 to 7 Jun 2024)
• Jose Cuervo

  IRN JXC01579

  • CF30 Customer (4 Aug 2010 to 2 Aug 2011)
  • CF27 Investment Management (30 Jan 2002 to 30 Jun 2006)
• Joseph Edward Little

  IRN JEL01073

  • [FCA CF] Manager of certification employee (since 27 Jan 2025)
  • [FCA CF] Material risk taker (since 18 Aug 2022)
  • [FCA CF] Client dealing (since 20 Dec 2019)
  • [FCA CF] Manager of certification employee (20 Dec 2019 to 7 Jan 2020)
  • CF30 Customer (10 Aug 2010 to 8 Dec 2019)

No changes recorded yet.