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.

• Frederick Edward Fuller

  IRN FEF01011

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (24 Jul 2018 to 8 Dec 2019)
• Gary Alexander Sedgewick

  IRN GXS02618

  • [FCA CF] Client dealing (since 1 Apr 2023)
• Gautam Nandu Kalani

  IRN GNK01015

  • [FCA CF] Client dealing (since 1 Apr 2023)
• George Michael Wales

  IRN GMW01128

  • [FCA CF] Client dealing (9 Dec 2019 to 6 Nov 2020)
  • CF30 Customer (12 Feb 2015 to 8 Dec 2019)
• Geraud Lionel Charpin

  IRN GXC01230

  • [FCA CF] Client dealing (1 Apr 2023 to 31 Dec 2025)
  • [FCA CF] Manager of certification employee (1 Apr 2023 to 31 Dec 2025)
  • [FCA CF] Material risk taker (1 Apr 2023 to 31 Dec 2025)
• Gianluca Paoluzzi

  IRN GXP80566

  • [FCA CF] Client dealing (1 Feb 2022 to 3 Nov 2023)
• Gianni Mangini

  IRN GXM00565

  • [FCA CF] Material risk taker (since 31 May 2023)
• Graeme Hepworth

  IRN GXH01611

  • CF28 Systems and controls (3 Jun 2011 to 23 Jul 2015)
• Guido Giammattei

  IRN GXG01300

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (2 Aug 2010 to 8 Dec 2019)
• Guinevere Taylor

  IRN GXT01605

  • [FCA CF] Client dealing (1 Aug 2020 to 18 Mar 2024)
  • CF30 Customer (4 Jul 2018 to 8 Dec 2019)

No changes recorded yet.