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”.

• Gareth Martin Pearl

  IRN GMP01093

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Apr 2025)
  • CF30 Customer (18 Oct 2016 to 8 Dec 2019)
• Geoffrey Mark Powell

  IRN GMP01032

  • CF2 Non Executive Director (6 Feb 2008 to 11 May 2011)
  • CF3 Chief Executive (1 Dec 2001 to 7 May 2003)
  • CF1 Director (1 Dec 2001 to 6 Feb 2008)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 7 May 2003)
• George Viney

  IRN GXV01114

  • CF30 Customer (14 Apr 2009 to 25 May 2012)
• Georgina Jane Campbell

  IRN GJC01111

  • CF27 Investment Management (8 Nov 2006 to 17 Nov 2006)
  • CF22 Investment Adviser (Trainee) (5 Feb 2004 to 8 Nov 2006)
• Harold Michael Clunie Cunningham

  IRN HMC01018

  • CF1 Director (1 Dec 2001 to 18 Sep 2006)
• Helen Joanne Green

  IRN HJS01039

  • [FCA CF] Client dealing (9 Dec 2019 to 16 May 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 7 Aug 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (26 Aug 2003 to 31 Oct 2007)
• Hugh Michael Barton Adlington

  IRN HMA01010

  • CF30 Customer (1 Nov 2007 to 31 Mar 2009)
  • CF27 Investment Management (6 Jun 2003 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (6 Jun 2002 to 30 May 2003)
• Hugh Michael Priestley

  IRN HMP01014

  • CF1 Director (1 Dec 2001 to 22 Aug 2005)
  • CF27 Investment Management (1 Dec 2001 to 22 Aug 2005)
• Hugh William Yarrow

  IRN HWY01000

  • CF30 Customer (1 Nov 2007 to 17 Mar 2009)
  • CF27 Investment Management (5 Apr 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (21 Jul 2003 to 5 Apr 2005)
• Jacqueline Lowe

  IRN JXK01103

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)

No changes recorded yet.