Royal London Asset Management Limited

• Principal Place of Business

  Royal London

  80 Fenchurch Street

  London

  City Of London

  EC3M 4BY

  UNITED KINGDOM

  Phone

  +4402075066500

  Web

  https://www.rlam.com

• Complaints Contact

  Royal London Mutual Insurance Society

  Royal London House

  Alderley Park

  Congleton Road

  Macclesfield

  Cheshire

  SK10 4EL

  UNITED KINGDOM

  Phone

  +4401625717097

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, 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), 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, Structured Deposits, Unit, Warrant

  Show 9 limitations Hide limitations

  • · Excludes managing the assets of private individuals
  • · Limited to unregulated collective investment scheme share exchange operations and, in carrying on such operations to the specified investments listed other than, all contractually based investments.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Limited to Investment Trust Savings Scheme marketing activities and in carrying on such activities to the specified investments "share" and right to or interest in investments - security”, (when the latter is associated with these specified investments).
  • · Limited to regulated collective investment scheme as marketing group associate activities and in carrying on such activities to the specified investments "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · Limited to sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · Limited to unregulated collective investment 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 (contractually based)" is limited to investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, 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, 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, Structured Deposits, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Excludes managing the assets of private individuals
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · Limited to stocklending activities and in carrying on such activities to the securities listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with these specified investments).
  • · 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.

• Investment Setup

  For Eligible Counterparty, 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, 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, Structured Deposits, Unit, Warrant

  Show 7 limitations Hide limitations

  • · Excludes managing the assets of private individuals
  • · Limited to investment management activities but excludes managing the assets of private individuals.
  • · Limited to Investment Trust Savings Scheme marketing activities and in carrying on such activities to the specified investments "share" and right to or interest in investments - security”, (when the latter is associated with these specified investments).
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
  • · Limited to unregulated collective investment 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.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, 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, 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, Structured Deposits, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Excludes managing of assets of private individuals.
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional 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.

• Gregory Keith Miller

  IRN GKM01023

  • CF30 Customer (1 Jul 2008 to 1 May 2017)
• Guy Cornelius

  IRN GXC01204

  • CF30 Customer (12 Oct 2016 to 5 Nov 2018)
• Hans Iain Georgeson

  IRN HIG01001

  • SMF1 Chief Executive (since 17 Jun 2021)
  • SMF3 Executive Director (since 17 Jun 2021)
• Hanyi Lim

  IRN HXL01179

  • [FCA CF] Functions requiring qualifications (22 Sep 2022 to 1 Jun 2023)
  • [FCA CF] Client dealing (22 Sep 2022 to 1 Jun 2023)
• Henry John Burrell

  IRN HJB01069

  • [FCA CF] Material risk taker (12 May 2023 to 10 Feb 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 10 Feb 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jul 2024)
  • CF30 Customer (4 Dec 2017 to 8 Dec 2019)
• Henry William Lowson

  IRN HWL01010

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jul 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Feb 2026)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Feb 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 10 Feb 2026)
  • CF30 Customer (13 Sep 2016 to 8 Dec 2019)
• Hiroki Hashimoto

  IRN HXH01474

  • [FCA CF] Material risk taker (since 1 Jan 2025)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jul 2024)
  • CF30 Customer (21 Dec 2017 to 8 Dec 2019)
• Ian David Kernohan

  IRN IDK01008

  • CF30 Customer (1 Nov 2007 to 29 Jun 2018)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Ian Sharman

  IRN IXS01113

  • CF27 Investment Management (28 Feb 2002 to 14 Mar 2007)
• Ioana-Catalina Subasu

  IRN IXS00224

  • [FCA CF] Client dealing (24 Jan 2023 to 16 Aug 2024)
  • [FCA CF] Functions requiring qualifications (24 Jan 2023 to 1 Jul 2024)

No changes recorded yet.