River Global Investors LLP

• Principal Place of Business

  30 Coleman Street

  London

  EC2R 5AL

  UNITED KINGDOM

  Phone

  +4402033275100

  Web

  https://www.river.global

• Complaints Contact

  30 Coleman Street

  London

  EC2R 5AL

  UNITED KINGDOM

  Phone

  +4402033275100

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Rolling spot forex contract, Share, Unit, Warrant

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  • · 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.

• 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), Certificates representing certain security, 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), Rolling spot forex contract, Share, Unit, Warrant

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  • · 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, Retail (Investment), Certificates representing certain security, 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), Rolling spot forex contract, Share, Unit, Warrant

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  • · 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Rolling spot forex contract, Share, Unit, Warrant

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  • · 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Rolling spot forex contract, Share, Unit, Warrant

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  • · 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.

• Ian Luke

  IRN IRL01007

  • [FCA CF] Manager of certification employee (15 Sep 2020 to 11 May 2022)
  • [FCA CF] Material risk taker (15 Sep 2020 to 11 May 2022)
  • [FCA CF] Significant management (15 Sep 2020 to 11 May 2022)
• JOE Jepson

  IRN JXJ01584

  • [FCA CF] Client dealing (15 Sep 2020 to 6 Sep 2022)
  • CF30 Customer (11 Jul 2019 to 8 Dec 2019)
• James Anthony Angus Samuels

  IRN JAS01159

  • CF4 Partner (18 Apr 2014 to 11 Dec 2015)
• James Barham

  IRN JEB01082

  • [FCA CF] Client dealing (15 Sep 2020 to 31 Jan 2022)
  • [FCA CF] Manager of certification employee (15 Sep 2020 to 31 Jan 2022)
  • [FCA CF] Material risk taker (15 Sep 2020 to 31 Jan 2022)
  • [FCA CF] Significant management (15 Sep 2020 to 31 Jan 2022)
  • SMF9 Chair of the Governing Body (20 Feb 2020 to 14 Jun 2022)
  • SMF27 Partner (9 Dec 2019 to 14 Jun 2022)
  • CF30 Customer (1 Nov 2007 to 14 Sep 2011)
  • CF3 Chief Executive (2 Oct 2006 to 27 Nov 2019)
  • CF4 Partner (2 Oct 2006 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (2 Oct 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (2 Oct 2006 to 31 Oct 2007)
• James Berry

  IRN JJB01098

  • CF4 Partner (17 Apr 2014 to 2 Dec 2016)
• James Sym

  IRN JAS01413

  • SMF27 Partner (10 Nov 2022 to 31 Dec 2024)
  • [FCA CF] Manager of certification employee (15 Sep 2022 to 31 Dec 2024)
  • [FCA CF] Client dealing (15 Sep 2020 to 31 Dec 2024)
  • [FCA CF] Material risk taker (15 Sep 2020 to 31 Dec 2024)
  • [FCA CF] Significant management (15 Sep 2020 to 31 Dec 2024)
• James Wall

  IRN JFW01094

  • [FCA CF] Client dealing (15 Sep 2020 to 31 Jan 2022)
• Jason Nicholas Wood

  IRN JXW01429

  • [FCA CF] Client dealing (15 Sep 2020 to 28 Feb 2022)
  • CF30 Customer (3 Nov 2015 to 8 Dec 2019)
• Jennifer Elizabeth Yoe

  IRN JEY00007

  • CF30 Customer (6 Nov 2015 to 30 Apr 2017)
• Joanne Claire Keir

  IRN JCS00036

  • SMF17 Money Laundering Reporting Officer (MLRO) (17 Apr 2023 to 24 Dec 2025)

No changes recorded yet.