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”.

• Robert Paul Stockton

  IRN RPS00043

  • SMF9 Chair of the Governing Body (19 Feb 2020 to 1 Dec 2023)
  • SMF3 Executive Director (9 Dec 2019 to 1 Dec 2023)
  • CF1 Director (9 May 2019 to 8 Dec 2019)
• Robert William Lapsley

  IRN RXL00076

  • [FCA CF] Client dealing (1 Mar 2025 to 1 Oct 2025)
  • [FCA CF] Functions requiring qualifications (2 Sep 2024 to 1 Mar 2025)
• Robin John Griffiths

  IRN RJG01104

  • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
  • CF21 Investment Adviser (10 Aug 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (5 Nov 2004 to 10 Aug 2005)
• Roger John Bennett

  IRN RJB01339

  • [FCA CF] Client dealing (9 Dec 2019 to 7 Aug 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (16 Apr 2007 to 31 Oct 2007)
• Rollo Duckworth

  IRN RXD01127

  • CF30 Customer (1 Nov 2007 to 31 Mar 2017)
  • CF27 Investment Management (14 Nov 2006 to 31 Oct 2007)
• Rupert Charles Maximilian Heggs

  IRN RCH01064

  • CF30 Customer (1 Nov 2007 to 31 Mar 2009)
  • CF27 Investment Management (6 Jun 2003 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Jan 2002 to 30 May 2003)
• Sally Jing Hoang

  IRN SXH03020

  • [FCA CF] Client dealing (since 23 Jul 2025)
• Samuel Douglas Dow

  IRN SDD01027

  • [FCA CF] Client dealing (since 1 Mar 2025)
  • [FCA CF] Material risk taker (since 27 Oct 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Mar 2025)
  • CF30 Customer (5 Dec 2014 to 8 Dec 2019)
• Sarah Jane Owen-Jones

  IRN SJO01053

  • CF28 Systems and controls (18 Mar 2015 to 8 Dec 2019)
  • CF29 Significant management (18 Mar 2015 to 8 Dec 2019)
• Sean Beck

  IRN SXB01957

  • CF30 Customer (1 Nov 2007 to 17 Mar 2009)
  • CF27 Investment Management (29 Jan 2007 to 31 Oct 2007)

No changes recorded yet.