GAM INTERNATIONAL MANAGEMENT LIMITED
Reference number: 122331
Instant download
Authorised by the FCA
This firm is on the FCA register and authorised to carry out regulated activities.
Identity
Check their details
Compare these against whatever you were given. Scammers clone real firm names and reference numbers but use their own phone number and website, so a detail that does not match the register is the clearest warning sign there is.
-
Verified website
-
Verified phone number
-
Verified address
8 Finsbury Circus, London, EC2M 7GB, United Kingdom
Company details
From the company's Companies House record.
- Company number
- 01802911
- Company status
- Active
- Company type
- Private limited company
- Incorporated
- 26 March 1984 (42 years old)
- Registered office
- 8 Finsbury Circus, London, EC2M 7GB, England
- Nature of business
-
- Fund management activities (SIC 66300)
Current directors and secretaries
| Name | Role | Born | Appointed |
|---|---|---|---|
| David Richard Kemp | Director | Jun 1969 | 26 Sep 2023 |
| Duncan Whale | Director | Dec 1981 | 26 Sep 2023 |
| Claire Thurston | Secretary | Not published | 2 Aug 2021 |
Activities and protection
What they can do, and how you are protected
- Give regulated advice FSCS may applyA claim for unsuitable advice is itself FSCS-protected, up to the limit that applies to the product you were advised on.
- Manage or trade investments FSCS may applyEligible investment and pension claims are typically FSCS-protected up to £85,000 per person, depending on the product and your circumstances.
Show FCA detail (6 permissions)
- Advising on investments (except on Pension Transfers and Pension Opt Outs)
- Advising on P2P agreements
- Arranging (bringing about) deals in investments
- Dealing in investments as agent
- Making arrangements with a view to transactions in investments
- Managing investments
Complaints: You can refer a complaint about this firm to the Financial Ombudsman Service for free, whichever activity it relates to.
Track record
Action taken against them
1 fine in 2022, £9.1m in total. This is part of the official register record and is worth reviewing before going ahead.
-
Fined £9.1m on 29 March 2022
The Financial Conduct Authority (the “FCA”) has decided to impose a financial penalty on GAM International Management Limited (“GIML”) of £9,103,523. The reason for this action is because: Between 28 November 2014 and 25 October 2017, GIML did not conduct its business with due skill care and diligence, by failing to ensure that its systems and controls for the identification, management and prevention of conflicts of interest operated effectively, thereby breaching Principle 2 of the FCA’s Principles for Businesses. Between 20 October 2016 and 8 March 2018, GIML did not manage conflicts of interest fairly between itself and its customers and different customers by failing to adequately manage conflicts of interest arising from three specific investments made by one of their investment teams, thereby breaching Principle 8 of the FCA’s Principles for Businesses. The FCA’s action took effect on 29 March 2022 and a copy of the Final Notice, which sets out the reason for the action, is displayed on the FCA's website and can be accessed.
Download this page as a PDF report
£5 for a clean, timestamped copy you can keep, file or send on. It also helps keep the site free to use and free of ads.
Instant download
Common questions