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.

• David Raymond Lambert

  IRN DRL01029

  • [FCA CF] Material risk taker (since 1 Apr 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• David Russell Miller

  IRN DRM01073

  • CF2 Non Executive Director (19 Apr 2006 to 8 Jan 2007)
• Deborah Yee Sing Yeo

  IRN DYY01000

  • CF30 Customer (25 Oct 2012 to 12 Jul 2013)
• Deepe Kiran Raja

  IRN DKR01022

  • [FCA CF] Client dealing (1 Apr 2023 to 3 Apr 2024)
• Dijana Jelic

  IRN DXJ01412

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 May 2018 to 8 Dec 2019)
• Dillon Laurence Nottingham Neale

  IRN DXN19723

  • [FCA CF] Client dealing (since 1 Apr 2023)
• Dominic Paul Wallington

  IRN DPW01028

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Apr 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Apr 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (8 Oct 2007 to 21 Jun 2016)
  • CF8 Apportionment and Oversight (8 Oct 2007 to 31 Oct 2007)
  • CF3 Chief Executive (8 Oct 2007 to 1 Oct 2014)
  • CF27 Investment Management (22 Aug 2007 to 31 Oct 2007)
• Donna Meyers

  IRN DXM01105

  • SMF10 Chair of the Risk Committee (since 20 Nov 2024)
• Duncan Karl Farley

  IRN DKF01006

  • [FCA CF] Client dealing (since 1 Apr 2023)
  • [FCA CF] Material risk taker (1 Apr 2023 to 1 Apr 2026)
• Edoardo Bergamo-Andreis

  IRN EXB00257

  • [FCA CF] Client dealing (1 Apr 2023 to 1 May 2025)

No changes recorded yet.