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

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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, 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.

• Janet Susan Wilkinson

  IRN JSW01115

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 Mar 2023)
• Jayne Fieldhouse

  IRN JXF00121

  • [FCA CF] Material risk taker (since 1 Apr 2023)
  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2020 to 31 Mar 2023)
• Jean Philippe Christophe Paul Blua

  IRN JPB01201

  • [FCA CF] Material risk taker (since 28 Apr 2024)
  • SMF4 Chief Risk (1 Apr 2023 to 28 Apr 2024)
• Jeffery Jon Mascarenhas

  IRN JJM01333

  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Apr 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Oct 2022)
  • CF28 Systems and controls (27 Apr 2017 to 8 Dec 2019)
• Jeremy Bruce Richardson

  IRN JBR01021

  • [FCA CF] Manager of certification employee (since 6 Apr 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (10 Jan 2014 to 8 Dec 2019)
• Jerome Mark Anthony Watson

  IRN JMW01251

  • CF10 Compliance Oversight (7 May 2008 to 30 Sep 2009)
• Jimmy Haynes

  IRN JXH01150

  • [FCA CF] Client dealing (since 20 Jul 2023)
• Joanna Katherine Thomson

  IRN JKT01027

  • [FCA CF] Manager of certification employee (since 29 Mar 2024)
  • [FCA CF] Significant management (since 29 Mar 2024)
  • [FCA CF] Material risk taker (since 29 Mar 2024)
• Joanne Morris

  IRN JXM02038

  • [FCA CF] Client dealing (9 Jan 2024 to 14 Jul 2024)
• John Farrell

  IRN JRF01111

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (17 Jan 2013 to 8 Dec 2019)

No changes recorded yet.