RATHBONES ASSET MANAGEMENT LIMITED

• Principal Place of Business

  30 Gresham Street

  London

  EC2V 7QN

  UNITED KINGDOM

  Phone

  +4402073990000

  Web

  http://www.rathbones.com

• Complaints Contact

  30 Gresham Street

  London

  EC2V 7QN

  UNITED KINGDOM

  Phone

  +4402073990000

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Rights to or interests in investments (Security), Unit

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  • · Limited to authorised unit trust scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Limited to ICVC box management activities and in carrying on such activities to the specified investments, "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot f orex contract) and rights to or interests in investments - contractually based investments", (when the later is associated with these specified investments).
  • · Limited to unregulated collective investment scheme activities.

• 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), 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 10 limitations Hide limitations

  • · Limited to authorised unit trust operations including such operations and activities where the firm is acting under a delegated management mandate and in carrying on these operations, to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer types "professional client" and "retail client".
  • · Limited to authorised unit trust scheme operations including such operations and activities where the firm is acting under a delegated management mandate and in carrying on such operations, to the specified investments listed other than "life policy" and "funeral plan contract", (when the latter is associated with these specified investments), for the customer types "professional client" and "retail client".
  • · Limited to Investment Company with Variable Capital activities including such operations and activities where the firm is acting under a delegated management mandate and in carrying on such activities to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer types "professional client" and "retail client".
  • · 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.
  • · Limited to authorised unit trust scheme share exchange activities and in carrying on such activities to the specified investments listed other than all contractually based investments.
  • · Limited to authorised unit trust scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to Investment Company with Variable Capital share exchange activities and in carrying on such activities to the specified investments listed other than contractually based investments.
  • · Limited to unregulated collective investment scheme activities.
  • · Limited to Investment Company with Variable Capital activities including such operations and activities where the firm is acting under a delegated management mandate and in carrying on such activities to the specified investments listed other than, "life policy" and "funeral plan contract", (when the latter is associated with these specified investments)”, for the customer types "professional client" and "retail client".

• Stockbroking

  For 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, Spread Bet, Unit, Warrant

  Show 7 limitations Hide limitations

  • · Limited to authorised unit trust operations including such operations and activities where the firm is acting under a delegated management mandate and in carrying on these operations, to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer types "professional client" and "retail client".
  • · Limited to authorised unit trust scheme operations including such operations and activities where the firm is acting under a delegated management mandate and in carrying on such operations, to the specified investments listed other than "life policy" and "funeral plan contract", (when the latter is associated with these specified investments), for the customer types "professional client" and "retail client".
  • · Limited to Investment Company with Variable Capital activities including such operations and activities where the firm is acting under a delegated management mandate and in carrying on such activities to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer types "professional client" and "retail client".
  • · 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.
  • · Limited to unregulated collective investment scheme activities.
  • · Limited to Investment Company with Variable Capital activities including such operations and activities where the firm is acting under a delegated management mandate and in carrying on such activities to the specified investments listed other than, "life policy" and "funeral plan contract", (when the latter is associated with these specified investments)”, for the customer types "professional client" and "retail client".

• 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), Unit

  Show 4 limitations Hide limitations

  • · Limited to authorised unit trust box management operations and in carrying on such activities to the specified investments "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Limited to ICVC box management activities and in carrying on such activities to the specified investments, "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot f orex contract) and rights to or interests in investments - contractually based investments", (when the later is associated with these specified investments).
  • · 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.
  • · Limited to unregulated collective investment scheme activities.

• Runs Investment Funds

• 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, Spread Bet, Unit, Warrant

  Show 10 limitations Hide limitations

  • · Limited to authorised unit trust operations including such operations and activities where the firm is acting under a delegated management mandate and in carrying on these operations, to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer types "professional client" and "retail client".
  • · Limited to authorised unit trust scheme operations including such operations and activities where the firm is acting under a delegated management mandate and in carrying on such operations, to the specified investments listed other than "life policy" and "funeral plan contract", (when the latter is associated with these specified investments), for the customer types "professional client" and "retail client".
  • · Limited to Investment Company with Variable Capital activities including such operations and activities where the firm is acting under a delegated management mandate and in carrying on such activities to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer types "professional client" and "retail client".
  • · 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.
  • · Limited to authorised unit trust scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to Investment Company with Variable Capital share exchange activities and in carrying on such activities to the specified investments listed other than contractually based investments.
  • · Limited to ICVC box management activities and in carrying on such activities to the specified investments, "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot f orex contract) and rights to or interests in investments - contractually based investments", (when the later is associated with these specified investments).
  • · Limited to unregulated collective investment scheme activities.
  • · Limited to Investment Company with Variable Capital activities including such operations and activities where the firm is acting under a delegated management mandate and in carrying on such activities to the specified investments listed other than, "life policy" and "funeral plan contract", (when the latter is associated with these specified investments)", for the customer types "professional client" and "retail client”.

• Retail Investment Funds

• Specialist Investment Funds

• Private Investment Funds

• Manages Your Portfolio

  For 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, Funeral plan contract, 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 7 limitations Hide limitations

  • · Limited to authorised unit trust operations including such operations and activities where the firm is acting under a delegated management mandate and in carrying on these operations, to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer types "professional client" and "retail client".
  • · Limited to authorised unit trust scheme operations including such operations and activities where the firm is acting under a delegated management mandate and in carrying on such operations, to the specified investments listed other than "life policy" and "funeral plan contract", (when the latter is associated with these specified investments), for the customer types "professional client" and "retail client".
  • · Limited to Investment Company with Variable Capital activities including such operations and activities where the firm is acting under a delegated management mandate and in carrying on such activities to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer types "professional client" and "retail client".
  • · 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.
  • · Limited to unregulated collective investment scheme activities.
  • · Limited to Investment Company with Variable Capital activities including such operations and activities where the firm is acting under a delegated management mandate and in carrying on such activities to the specified investments listed other than, "life policy" and "funeral plan contract", (when the latter is associated with these specified investments)", for the customer types "professional client" and "retail client”.

• Aaron Thomas Guilder

  IRN ATG01043

  • SMF17 Money Laundering Reporting Officer (MLRO) (24 Jun 2022 to 2 Dec 2024)
• Alan Robert William McKay Dobbie

  IRN ARD01117

  • [FCA CF] Client dealing (since 1 Mar 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Mar 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (27 Dec 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (27 Oct 2005 to 27 Dec 2006)
• Alan William Dixon

  IRN AWD01027

  • [FCA CF] Client dealing (9 Dec 2019 to 16 May 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 16 May 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (13 Aug 2003 to 31 Oct 2007)
• Alexandra Frances Jackson

  IRN AFJ01011

  • [FCA CF] Client dealing (since 1 Mar 2025)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Mar 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (19 Sep 2007 to 31 Oct 2007)
• Amy Coburn

  IRN AXC00712

  • [FCA CF] Client dealing (25 Feb 2022 to 7 Aug 2023)
• Amy See

  IRN AXD01801

  • [FCA CF] Client dealing (9 Dec 2019 to 7 Aug 2023)
  • CF30 Customer (17 Jun 2009 to 8 Dec 2019)
• Andrew Alan Pitt

  IRN AAP01018

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Mar 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 14 Mar 2024)
  • CF30 Customer (26 Aug 2016 to 8 Dec 2019)
• Andrew Pomfret

  IRN ADP01042

  • CF1 Director (1 Aug 2005 to 28 Feb 2014)
• Ann Kathleen Pepper

  IRN AKP01015

  • [FCA CF] Client dealing (6 Jan 2020 to 7 Aug 2023)
• Bryn Neville Jones

  IRN BNJ00004

  • [FCA CF] Client dealing (since 1 Mar 2025)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Mar 2025)
  • CF1 Director (5 May 2015 to 29 Oct 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (12 Aug 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (12 Nov 2004 to 12 Aug 2005)

No changes recorded yet.