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.

• Stephane Levy

  IRN SXL00114

  • [FCA CF] Manager of certification employee (since 19 Jul 2023)
  • [FCA CF] Manager of certification employee (16 Jun 2020 to 8 Jun 2023)
• Stephanie Cynthia Maier

  IRN SXM00248

  • [FCA CF] Client dealing (8 Jul 2020 to 23 Oct 2020)
• Stephanie Margret Fang-I Wu

  IRN SMW01080

  • [FCA CF] Manager of certification employee (since 22 Jan 2025)
  • [FCA CF] Client dealing (since 22 Jan 2025)
  • [FCA CF] Material risk taker (21 Apr 2022 to 10 Aug 2022)
  • [FCA CF] Manager of certification employee (12 Mar 2021 to 15 Dec 2024)
  • [FCA CF] Client dealing (2 Mar 2020 to 15 Dec 2024)
  • CF30 Customer (20 Aug 2010 to 8 Dec 2019)
• Stephen Andrew Braithwaite

  IRN SAB01123

  • CF27 Investment Management (29 Apr 2003 to 30 Dec 2006)
• Stephen David Anthony Doran

  IRN SDD01039

  • CF30 Customer (23 Jan 2008 to 30 May 2019)
• Stephen David James

  IRN SDJ00012

  • CF30 Customer (1 Nov 2007 to 1 Mar 2008)
  • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
• Stephen Edward Anderson

  IRN SEA01035

  • CF28 Systems and controls (1 Jun 2010 to 24 Mar 2011)
• Stephen John Mant

  IRN SJM01195

  • CF30 Customer (1 Nov 2007 to 14 Apr 2008)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Stephen Keith Green

  IRN SKG01033

  • CF19 Significant Mgt (Financial Resources) (1 Dec 2001 to 2 Jun 2003)
• Stephen McKeever

  IRN SXM03203

  • CF30 Customer (15 May 2019 to 5 Jul 2019)

No changes recorded yet.