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.

• Victoria Mary Clarke

  IRN VMS01004

  • CF26 Customer Trading (1 Dec 2001 to 30 Nov 2006)
• Victoria Shigehira Sharpe

  IRN VXS00153

  • [FCA CF] Manager of certification employee (9 Nov 2022 to 31 Mar 2025)
• Vidusha Yogeswaran

  IRN VXY00011

  • [FCA CF] Client dealing (since 25 Nov 2025)
• Vijaykumar Chhaganlal Sawjani

  IRN VCS01004

  • [FCA CF] Client dealing (14 Feb 2020 to 24 Nov 2021)
  • CF30 Customer (22 Nov 2007 to 8 Dec 2019)
• Vikram Aggarwal

  IRN VXA01032

  • CF27 Investment Management (4 May 2007 to 10 Sep 2007)
• Vincent Maurice Houttville

  IRN VMH01025

  • CF30 Customer (24 Oct 2016 to 26 Jul 2019)
• Viral Desai

  IRN VXD00021

  • [FCA CF] Client dealing (22 Sep 2020 to 19 Jan 2022)
• Viswanath Nayar

  IRN VXN01007

  • SMF3 Executive Director (14 Sep 2023 to 5 Feb 2024)
  • [FCA CF] Significant management (17 Mar 2023 to 14 Sep 2023)
  • [FCA CF] Material risk taker (17 Mar 2023 to 14 Sep 2023)
  • SMF18 Other Overall Responsibility (21 Apr 2020 to 14 Feb 2023)
  • [FCA CF] Manager of certification employee (11 Mar 2020 to 26 Mar 2020)
  • [PRA CF] Managing a material risk taker (11 Mar 2020 to 26 Mar 2020)
  • [FCA CF] Client dealing (11 Mar 2020 to 26 Mar 2020)
  • CF30 Customer (24 Aug 2010 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 May 2003)
• Vivek Ram

  IRN VXR01043

  • [FCA CF] Significant management (15 Sep 2021 to 10 Aug 2022)
  • [FCA CF] Material risk taker (15 Sep 2021 to 10 Aug 2022)
  • [PRA CF] Managing a material risk taker (11 Dec 2019 to 7 Oct 2020)
  • [FCA CF] Manager of certification employee (11 Dec 2019 to 7 Oct 2020)
• Wayne Nutland

  IRN WRN00002

  • CF30 Customer (1 Nov 2007 to 26 Sep 2019)
  • CF27 Investment Management (11 Aug 2006 to 31 Oct 2007)

No changes recorded yet.