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.

• Thomas Gander

  IRN TXG00168

  • [FCA CF] Manager of certification employee (1 Dec 2024 to 17 Feb 2025)
  • [FCA CF] Client dealing (1 Apr 2022 to 17 Feb 2025)
  • [FCA CF] Functions requiring qualifications (1 Apr 2022 to 1 Jul 2024)
• Thomas Randall

  IRN TXR00116

  • [FCA CF] Functions requiring qualifications (19 Apr 2021 to 11 Mar 2022)
  • [FCA CF] Client dealing (19 Apr 2021 to 11 Mar 2022)
• Thomas Ryan Carroll

  IRN TRC01038

  • [FCA CF] Client dealing (since 17 Jul 2024)
  • [FCA CF] Manager of certification employee (since 20 Nov 2023)
  • [FCA CF] Significant management (1 Mar 2022 to 16 Jul 2024)
• Timothy James William Tookey

  IRN TJT01027

  • SMF7 Group Entity Senior Manager (28 Aug 2020 to 4 Jun 2025)
• Timothy Lars van den Hoek Eklund

  IRN TLV01002

  • CF30 Customer (18 Oct 2013 to 27 Jun 2015)
• Timothy Walter Harris

  IRN TWH01030

  • CF2 Non Executive Director (9 Jul 2015 to 14 Jun 2018)
• Tracey Anne Ashworth-Davies

  IRN TAA01034

  • CF29 Significant management (1 Nov 2007 to 31 Jan 2010)
  • CF17 Significant Mgt (Other Business Operations) (1 May 2007 to 31 Oct 2007)
• Tracey Anne Lord

  IRN TAL01027

  • CF10 Compliance Oversight (27 Sep 2006 to 22 Jun 2007)
• Tracey Bennett

  IRN TXB00346

  • [FCA CF] Significant management (22 Mar 2022 to 6 Nov 2025)
  • [FCA CF] Material risk taker (22 Mar 2022 to 6 Nov 2025)
• Tracey Graham

  IRN TXG01311

  • SMF7 Group Entity Senior Manager (24 Feb 2020 to 22 Mar 2022)

No changes recorded yet.