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

  Show 4 limitations Hide limitations

  • · 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”.

• John Andrew Umfreville

  IRN JAU01010

  • CF30 Customer (31 Jan 2011 to 31 Jul 2019)
• John Gad

  IRN JXG00260

  • [FCA CF] Client dealing (11 Oct 2021 to 7 Aug 2023)
• John Ian Moorley

  IRN JIM01017

  • CF11 Money Laundering Reporting (1 Jan 2003 to 16 Jun 2004)
  • CF10 Compliance Oversight (1 Jan 2003 to 16 Jun 2004)
• Julian David Frederick Ide

  IRN JDI01007

  • Director of firm who is not a certification employee or a SMF manager (since 1 Jul 2025)
• Julian Richard Chillingworth

  IRN JRC01088

  • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 May 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Karen Elizabeth McCusker

  IRN KEM01020

  • CF30 Customer (1 Nov 2007 to 19 Nov 2013)
  • CF27 Investment Management (6 Apr 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (6 Apr 2006 to 31 Oct 2007)
• Lisa Lim

  IRN LXL01299

  • [FCA CF] Client dealing (since 23 Jul 2025)
• Luke Samuel Nathen Hickmore

  IRN LSH01011

  • CF27 Investment Management (1 Dec 2001 to 12 Nov 2004)
• Margaret Christopher

  IRN MXC02289

  • CF28 Systems and controls (28 Sep 2010 to 2 Aug 2011)
• Marina Alice Bond

  IRN MAB01248

  • CF30 Customer (1 Nov 2007 to 18 Jun 2014)
  • CF27 Investment Management (7 Nov 2003 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (4 Apr 2002 to 7 Nov 2003)

No changes recorded yet.