HANDELSBANKEN WEALTH & ASSET MANAGEMENT LIMITED

• Principal Place of Business

  25 Basinghall Street

  London

  EC2V 5HA

  UNITED KINGDOM

  Phone

  +4402070451320

  Web

  https://wealthandasset.handelsbanken.co.uk

• Complaints Contact

  25 Basinghall Street

  London

  EC2V 5HA

  UNITED KINGDOM

  Phone

  +4402070451320

• Pension Transfer Advice

  For Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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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.

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, 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

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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), Retail (Non-Investment Insurance), 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• 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, Life Policy, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Insurance Admin

  For Retail (Non-Investment Insurance), Non-investment insurance contracts

• Trade Settlement Routing

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, 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, Stakeholder pension scheme, 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.

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• 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, Life Policy, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Holds Your Assets

  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, Life Policy, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Electronic Trade Settlement

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, 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, Stakeholder pension scheme, 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.

• Simon Guy Joyce

  IRN SGJ01024

  • [FCA CF] Functions requiring qualifications (7 Mar 2021 to 31 Dec 2021)
  • [FCA CF] Client dealing (7 Mar 2021 to 31 Dec 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (23 Mar 2004 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 2 May 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Simon James Gulliford

  IRN SJG01185

  • CF2 Non Executive Director (1 Oct 2011 to 14 Oct 2011)
• Simon John Dixon

  IRN SJD01181

  • SMF1 Chief Executive (25 Mar 2020 to 27 May 2020)
  • SMF3 Executive Director (9 Dec 2019 to 27 May 2020)
  • Responsible for Insurance Distribution (1 Oct 2018 to 27 May 2020)
  • Responsible for Insurance Mediation (11 Mar 2009 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (29 Jun 2004 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (5 Jan 2004 to 29 Jun 2004)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Simon Nicholas Lough

  IRN SNL01021

  • CF3 Chief Executive (1 Nov 2008 to 17 Jul 2014)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF1 Director (1 Dec 2001 to 17 Jul 2014)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Simon Roderick Clark

  IRN SXC01835

  • CF28 Systems and controls (8 Nov 2007 to 22 Oct 2010)
  • CF1 Director (1 Apr 2006 to 22 Oct 2010)
• Spiros Anthony Sotiriou

  IRN SAS00062

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 7 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 7 Mar 2021)
  • CF30 Customer (28 Feb 2014 to 8 Dec 2019)
• Stephen Peter Redvers Cowling

  IRN SPC01100

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Significant management (since 5 Sep 2025)
  • [FCA CF] Material risk taker (since 5 Sep 2025)
  • [FCA CF] Manager of certification employee (since 5 Apr 2022)
  • [FCA CF] Functions requiring qualifications (since 7 Mar 2021)
  • [FCA CF] Client dealing (since 7 Mar 2021)
  • CF30 Customer (14 Jul 2016 to 8 Dec 2019)
• Stuart James McGrath

  IRN SJM00009

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 7 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 7 Mar 2021)
  • CF30 Customer (30 Mar 2016 to 8 Dec 2019)
• Stuart Killacky

  IRN SXK02194

  • [FCA CF] Client dealing (7 Mar 2021 to 6 Jan 2023)
  • [FCA CF] Functions requiring qualifications (7 Mar 2021 to 6 Jan 2023)
  • CF30 Customer (31 Dec 2014 to 8 Dec 2019)
• Susan Jayne Payne

  IRN SJP01196

  • CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2003)

• Robert William Bourne (no longer appointed)

  FRN 533005 · Appointed 6 Oct 2010 · Until 31 Jul 2012

• Hugh Leonard Holloway (no longer appointed)

  FRN 501609 · Appointed 27 May 2009 · Until 29 Oct 2012

No changes recorded yet.