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.

• Robert Franklin Hoyt

  IRN RFH01060

  • [PRA CF] Managing a material risk taker (16 Sep 2021 to 19 Aug 2022)
  • [FCA CF] Manager of certification employee (10 Feb 2021 to 11 Aug 2022)
• Robert James Inkley White

  IRN RJW01183

  • CF27 Investment Management (26 Apr 2006 to 4 Aug 2006)
• Robert James Riley

  IRN RJR01137

  • CF30 Customer (13 Aug 2010 to 1 Apr 2014)
• Robert John Barrett

  IRN RJB01260

  • CF30 Customer (24 Jun 2008 to 30 Apr 2009)
• Robert John McLaren

  IRN RJM00035

  • CF27 Investment Management (4 Feb 2004 to 16 Jun 2006)
• Robert John Wakefield

  IRN RJW01346

  • [FCA CF] Client dealing (13 Jul 2020 to 23 Apr 2021)
  • [FCA CF] Manager of certification employee (8 Jun 2020 to 23 Apr 2021)
• Robert Lamdin

  IRN RJL01187

  • CF30 Customer (27 Aug 2010 to 30 May 2013)
• Robert Philip Morris

  IRN RPM01034

  • CF27 Investment Management (1 Dec 2001 to 30 Jun 2006)
• Robert Steward

  IRN RMS01205

  • CF30 Customer (23 Dec 2014 to 7 May 2019)
• Robert Whelan

  IRN RXW01869

  • [FCA CF] Significant management (26 Oct 2020 to 9 Sep 2021)
  • [FCA CF] Material risk taker (26 Oct 2020 to 9 Sep 2021)
  • SMF2 Chief Finance (9 Dec 2019 to 31 Aug 2020)
  • CF28 Systems and controls (11 Oct 2016 to 8 Dec 2019)

No changes recorded yet.