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

  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.

• Michael Rose

  IRN MXR00410

  • [FCA CF] Client dealing (8 Sep 2021 to 5 May 2023)
• Michael White

  IRN MXW00566

  • [FCA CF] CASS oversight function (27 May 2022 to 31 Dec 2023)
  • [FCA CF] Material risk taker (27 May 2022 to 31 Dec 2023)
  • [FCA CF] Manager of certification employee (27 May 2022 to 31 Dec 2023)
  • SMF3 Executive Director (27 May 2022 to 2 Feb 2024)
• Michelle Dunne

  IRN MXD01767

  • [FCA CF] Significant management (30 Aug 2023 to 10 Jan 2025)
  • [FCA CF] Manager of certification employee (30 Aug 2023 to 10 Jan 2025)
  • [FCA CF] Client dealing (30 Aug 2023 to 10 Jan 2025)
  • [FCA CF] Material risk taker (30 Aug 2023 to 10 Jan 2025)
• Miriam Valerie Greenwood

  IRN MVG01002

  • CF2 Non Executive Director (28 May 2019 to 8 Dec 2019)
• Neil Husband

  IRN NXH00553

  • [FCA CF] Manager of certification employee (since 11 Dec 2025)
• Neil Stuart Veitch

  IRN NSV01004

  • [FCA CF] Material risk taker (since 1 Jul 2025)
  • [FCA CF] Client dealing (since 1 Dec 2023)
  • [FCA CF] Manager of certification employee (since 1 Dec 2023)
• Nicholas John Fisher

  IRN NJF01088

  • CF10a CASS Oversight function (20 Apr 2015 to 4 Jan 2016)
  • CF11 Money Laundering Reporting (18 Jul 2014 to 4 Jan 2016)
  • CF10 Compliance Oversight (18 Jul 2014 to 4 Jan 2016)
• Nicholas Stephen Pearse

  IRN NSP01024

  • [FCA CF] Client dealing (1 Mar 2021 to 24 Apr 2025)
• Nicholas Stewart Slater

  IRN NSS01036

  • CF30 Customer (1 Nov 2007 to 14 Sep 2011)
  • CF4 Partner (12 Jul 2007 to 27 Mar 2014)
  • CF21 Investment Adviser (12 Jul 2007 to 31 Oct 2007)
• Nicola Stanic

  IRN NXM01476

  • CF30 Customer (23 Oct 2012 to 5 Feb 2015)

No changes recorded yet.