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

  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.

• 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.

• Clare Annegret Abberley

  IRN CAA01040

  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 18 Dec 2002)
• Clive Reginald Meek

  IRN CXM01431

  • 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] Manager of certification employee (since 7 Mar 2021)
  • [FCA CF] Client dealing (since 7 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 7 Mar 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (14 Sep 2004 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (2 Aug 2004 to 14 Sep 2004)
  • CF24 Pension Transfer Specialist (2 Aug 2004 to 31 Oct 2007)
• Clyde McDonald Young

  IRN CXY00005

  • CF30 Customer (1 Nov 2007 to 30 Jun 2008)
  • CF24 Pension Transfer Specialist (21 Sep 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (24 Jan 2006 to 31 Oct 2007)
• Colin Ian Barrett

  IRN CIB01022

  • CF30 Customer (1 Nov 2007 to 25 Jan 2010)
  • CF21 Investment Adviser (9 Dec 2005 to 31 Oct 2007)
  • CF27 Investment Management (2 Nov 2004 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (2 Nov 2004 to 9 Dec 2005)
• Damian McDaid

  IRN DXM02947

  • CF30 Customer (26 Apr 2016 to 28 Sep 2018)
• Daniel Edward Wood

  IRN DEW01089

  • CF30 Customer (2 Jan 2018 to 23 Aug 2019)
• Darrell Anthony Sykes

  IRN DAS01166

  • 17. Administrative functions in relation to managing investments
  • [FCA CF] CASS oversight function (since 7 Mar 2026)
  • [FCA CF] Functions requiring qualifications (since 7 Mar 2021)
  • CF30 Customer (1 Nov 2007 to 1 Apr 2015)
  • CF21 Investment Adviser (22 Nov 2004 to 31 Oct 2007)
  • CF27 Investment Management (22 Nov 2004 to 31 Oct 2007)
• Darren Tickner

  IRN DXT01183

  • CF11 Money Laundering Reporting (20 Feb 2002 to 14 Dec 2007)
  • CF13 Finance (20 Feb 2002 to 31 Oct 2007)
• David Anthony Bisset Lough

  IRN DAL01083

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 24 May 2013)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 1 Nov 2008)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
• David James Absolon

  IRN DJA01102

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 7 Mar 2021)
  • [FCA CF] Client dealing (since 7 Mar 2021)
  • [FCA CF] Manager of certification employee (7 Mar 2021 to 17 Mar 2022)
  • CF30 Customer (31 Jan 2008 to 8 Dec 2019)
  • CF27 Investment Management (16 Aug 2002 to 15 Oct 2007)

• 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.