Dimensional Fund Advisors Ltd.

• Principal Place of Business

  Dimensional Fund Advisors Ltd.

  20 Triton Street

  Regents Place

  London

  NW1 3BF

  UNITED KINGDOM

  Phone

  +442030333300

  Web

  https://www.dimensional.com

• Complaints Contact

  Dimensional Fund Advisors Ltd.

  20 Triton Street

  Regents Place

  London

  NW1 3BF

  UNITED KINGDOM

  Phone

  +442030333300

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on 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), Rolling spot forex contract, Share, Unit, Warrant

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  • · 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), Certificates representing certain security, Commodity Future, Commodity option and option on 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), Rolling spot forex contract, 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, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on 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), Rolling spot forex contract, Share, Unit, Warrant

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on 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), Rolling spot forex contract, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Future (excluding a commodity future and a rolling spot forex contract), 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

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  • · Limited to ICVC box management activities.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on 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), Rolling spot forex contract, 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.

• Retail Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on 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), Rolling spot forex contract, 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.

• John Steven Romiza

  IRN JSR01072

  • [FCA CF] Client dealing (since 30 Jul 2021)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • SMF9 Chair of the Governing Body (30 Jan 2020 to 31 Dec 2021)
  • CF3 Chief Executive (1 Jul 2018 to 8 Dec 2019)
  • CF1 Director (27 Mar 2014 to 8 Dec 2019)
  • CF30 Customer (21 May 2008 to 8 Dec 2019)
• John Surridge

  IRN JXS00834

  • [FCA CF] Material risk taker (since 19 Apr 2022)
  • SMF3 Executive Director (since 4 Feb 2022)
• Jonathan Mark Ward

  IRN JMW01246

  • CF10 Compliance Oversight (28 Sep 2007 to 30 Sep 2014)
  • CF11 Money Laundering Reporting (28 Sep 2007 to 30 Sep 2014)
• Joseph Herbert

  IRN JXH00698

  • [FCA CF] Client dealing (16 Aug 2021 to 17 Mar 2023)
• Joseph William George Blackburn

  IRN JWB01186

  • [FCA CF] Manager of certification employee (since 1 Apr 2026)
  • [FCA CF] Client dealing (since 9 Dec 2019)
• Joshua Hunt

  IRN JXH00873

  • [FCA CF] Client dealing (since 20 Apr 2022)
• Joy Mu-Gei Yang

  IRN JMY01015

  • CF30 Customer (27 Apr 2015 to 9 Jan 2017)
• Karen Elizabeth Umland

  IRN KXM01154

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Kenneth George Tomlin

  IRN KGT01013

  • CF30 Customer (1 Nov 2007 to 29 Nov 2010)
  • CF21 Investment Adviser (30 Jul 2007 to 31 Oct 2007)
• Kevin Hudson-Phillips

  IRN KAH01134

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Jul 2022)
  • CF30 Customer (10 Aug 2017 to 8 Dec 2019)

No changes recorded yet.