RBS Investment Executive Limited

• Principal Place of Business

  RBS Gogarburn

  175 Glasgow Road

  Edinburgh

  EH12 1HQ

  SCOTLAND

  Phone

  +447931782926

• Complaints Contact

  The Royal Bank Of Scotland plc

  250 Bishopsgate

  London

  Tower Hamlets

  EC2M 4AA

  UNITED KINGDOM

  Phone

  +447931782926

• Investment Advice (no pensions)

  For Professional, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Limited to Occupational Pension Scheme activities and in carrying on such activities to the specified investments listed.
  • · 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.

• 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 Professional, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Limited to Occupational Pension Scheme activities and in carrying on such activities to the specified investments listed.
  • · 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.

• Arranges Asset Safekeeping

  For Professional, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Limited to Occupational Pension Scheme activities and in carrying on such activities to the specified investments listed.
  • · 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.

• Stockbroking

  For Professional, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Limited to Occupational Pension Scheme activities and in carrying on such activities to the specified investments listed.
  • · 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.

• Investment Setup

  For Professional, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Limited to Occupational Pension Scheme activities and in carrying on such activities to the specified investments listed.
  • · 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.

• Manages Your Portfolio

  For Professional, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Limited to Occupational Pension Scheme activities and in carrying on such activities to the specified investments listed.
  • · 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.

• Alison Rose-Slade

  IRN AMR01176

  • [FCA CF] Manager of certification employee (18 Apr 2023 to 25 Jul 2023)
• Donal Patrick Quaid

  IRN DPQ01004

  • [FCA CF] Manager of certification employee (since 1 Jan 2022)
• John-Paul Thwaite

  IRN JPT01082

  • [FCA CF] Manager of certification employee (since 18 Sep 2023)
• Katie Murray

  IRN KXM02157

  • [FCA CF] Manager of certification employee (since 29 Mar 2023)
• Nathan Townsend

  IRN NXT01287

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF10 Compliance Oversight (29 Aug 2014 to 8 Dec 2019)
  • CF1 Director (29 Aug 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (29 Aug 2014 to 8 Dec 2019)
• Nicholas Barnes

  IRN NPB01032

  • [FCA CF] Client dealing (since 26 Apr 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (12 Dec 2016 to 8 Dec 2019)
  • CF1 Director (30 Jan 2012 to 28 Oct 2016)
• Robert Charles Waugh

  IRN RCW01055

  • [FCA CF] Client dealing (26 Apr 2021 to 1 Jul 2023)
  • SMF1 Chief Executive (9 Dec 2019 to 1 Apr 2023)
  • SMF3 Executive Director (9 Dec 2019 to 1 Apr 2023)
  • CF30 Customer (30 Jan 2012 to 8 Dec 2019)
  • CF3 Chief Executive (30 Jan 2012 to 8 Dec 2019)
  • CF1 Director (30 Jan 2012 to 8 Dec 2019)
• Robert James Chestnutt

  IRN RXC10338

  • SMF1 Chief Executive (since 1 Apr 2023)
  • [FCA CF] Client dealing (since 1 Dec 2022)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (28 Jan 2019 to 8 Dec 2019)
• Roger Stephen Platt

  IRN RSP01091

  • CF1 Director (30 Jan 2012 to 12 Sep 2014)
  • CF10 Compliance Oversight (30 Jan 2012 to 12 Sep 2014)
  • CF11 Money Laundering Reporting (30 Jan 2012 to 12 Sep 2014)
• Sheena Cowan

  IRN SXC01477

  • SMF3 Executive Director (9 Dec 2019 to 28 Apr 2022)
  • CF1 Director (8 Jun 2016 to 8 Dec 2019)

No changes recorded yet.