RBC Global Asset Management (UK) Limited

• Principal Place of Business

  4th Floor

  100 Bishopsgate

  London

  EC2N 4AA

  UNITED KINGDOM

  Phone

  +4402076534000

  Web

  https://www.rbcgam.com/en/landing

• Complaints Contact

  4th Floor

  100 Bishopsgate

  London

  EC2N 4AA

  UNITED KINGDOM

  Phone

  +4402076534000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, 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, 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), 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, Retail (Investment), Alternative Debenture, Certificates representing certain security, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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 Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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, Alternative Debenture, Certificates representing certain security, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 3 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.
  • · Limited to transaction-only activities.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Abhilekha Jain

  IRN AXJ01494

  • [FCA CF] Client dealing (since 1 Apr 2023)
  • [FCA CF] Manager of certification employee (since 1 Apr 2023)
• Adam David Phillips

  IRN ADP01057

  • [FCA CF] Material risk taker (since 1 Apr 2023)
  • [FCA CF] Manager of certification employee (since 1 Apr 2023)
  • [FCA CF] Client dealing (since 1 Apr 2023)
• Adrian Denny

  IRN AMD01133

  • [FCA CF] Significant management (1 May 2025 to 27 Feb 2026)
  • [FCA CF] Manager of certification employee (1 May 2025 to 27 Feb 2026)
  • [FCA CF] Material risk taker (1 May 2025 to 27 Feb 2026)
• Adrian Ernest Butterworth

  IRN AEB01033

  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Sep 2006)
  • CF14 Risk Assessment (1 Dec 2001 to 8 Sep 2006)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Sep 2006)
• Adrian James Cantwell Clark

  IRN AJC01551

  • CF10 Compliance Oversight (29 Jan 2016 to 1 Nov 2018)
• Adrian Michael Palmer

  IRN AXP01508

  • SMF5 Head of Internal Audit (since 1 Apr 2023)
• Alexandra Limanowski

  IRN AXL02291

  • [FCA CF] Client dealing (1 Apr 2023 to 1 Jan 2024)
• Alice Zeena Dahdaleh

  IRN AZD01000

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Apr 2022)
  • CF30 Customer (19 Jul 2010 to 8 Dec 2019)
• Amelia Faye Sutton

  IRN AXS05403

  • [FCA CF] Client dealing (since 4 Feb 2025)
• Ameneh Ziai

  IRN AXZ01017

  • [FCA CF] Manager of certification employee (since 11 May 2023)

No changes recorded yet.