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.

• Jane Elizabeth Guyett

  IRN JEG01106

  • SMF7 Group Entity Senior Manager (20 Jun 2022 to 22 Dec 2025)
• Jason Andrew Gardiner

  IRN JAG01224

  • CF10 Compliance Oversight (4 Oct 2012 to 7 Apr 2015)
  • CF11 Money Laundering Reporting (4 Oct 2012 to 7 Apr 2015)
• Jason Phillip Vickers

  IRN JXV00053

  • [FCA CF] Client dealing (26 Mar 2025 to 11 Nov 2025)
• Jean-Marc Edmond Lange

  IRN JEL01115

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jul 2024)
  • CF30 Customer (14 Sep 2012 to 8 Dec 2019)
• Jeegar Jagani

  IRN JXJ01264

  • CF30 Customer (1 Nov 2007 to 29 Sep 2008)
• Jenny Barnes

  IRN JXB00970

  • [FCA CF] Manager of certification employee (since 21 Apr 2022)
  • [FCA CF] Significant management (since 20 Jan 2022)
• Jeremy Deacon

  IRN JGD01079

  • [FCA CF] Material risk taker (since 1 Jan 2025)
  • [FCA CF] Manager of certification employee (since 15 Nov 2024)
  • [FCA CF] Client dealing (since 9 Sep 2024)
• John Andrew Alexander Nicol

  IRN JAN01062

  • SMF4 Chief Risk (since 22 Feb 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (14 Aug 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (14 Aug 2018 to 8 Dec 2019)
• John Atkin

  IRN JXA00661

  • [FCA CF] Material risk taker (since 1 Jan 2026)
  • [FCA CF] Manager of certification employee (since 25 Mar 2025)
  • [FCA CF] Client dealing (since 3 Jul 2024)
• John Charles Francis Burke

  IRN JCB01103

  • [FCA CF] Significant management (9 Dec 2019 to 30 Sep 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Sep 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Sep 2024)

No changes recorded yet.