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.

• Daniel Bernard Gilley

  IRN DXG01913

  • [FCA CF] Client dealing (since 1 Apr 2023)
  • [FCA CF] Manager of certification employee (1 Apr 2023 to 27 Feb 2025)
• Daniel E Chornous

  IRN DXC01630

  • SMF7 Group Entity Senior Manager (1 Apr 2023 to 31 Jan 2026)
  • SMF3 Executive Director (9 Dec 2019 to 9 Dec 2019)
  • CF1 Director (23 Jul 2004 to 8 Dec 2019)
• Daniel Edward Shonfeld

  IRN DXS01815

  • CF11 Money Laundering Reporting (12 Apr 2011 to 2 Aug 2015)
• Daniel John Grimstead

  IRN DJG01129

  • [FCA CF] Client dealing (since 1 Apr 2023)
• David Amar Horsburgh

  IRN DAH01297

  • [FCA CF] Client dealing (1 Apr 2023 to 24 May 2024)
• David Bailey

  IRN DXB01840

  • CF28 Systems and controls (1 Nov 2007 to 4 Oct 2011)
  • CF13 Finance (11 Apr 2006 to 31 Oct 2007)
• David James Watling

  IRN DJW01349

  • [FCA CF] Client dealing (since 1 Apr 2023)
• David John Thomas

  IRN DJT01147

  • Director of firm who is not a certification employee or a SMF manager (1 Apr 2023 to 30 Nov 2024)
  • Responsible for Insurance Distribution (20 Feb 2020 to 20 Feb 2020)
  • SMF9 Chair of the Governing Body (9 Dec 2019 to 31 Mar 2023)
  • CF2 Non Executive Director (18 Oct 2010 to 8 Dec 2019)
• David McFadzean

  IRN DXM01717

  • CF2 Non Executive Director (27 Mar 2007 to 11 Oct 2010)
• David Rawlinson

  IRN DXR01190

  • SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2022)
  • CF10 Compliance Oversight (7 Dec 2018 to 8 Dec 2019)

No changes recorded yet.