SANFORD DELAND ASSET MANAGEMENT LTD

• Principal Place of Business

  7 Park Row

  Leeds

  West Yorkshire

  LS1 5HD

  UNITED KINGDOM

  Phone

  +4401133501820

  Web

  http://www.sanford-deland.com

• Complaints Contact

  7 Park Row

  Leeds

  West Yorkshire

  LS1 5HD

  UNITED KINGDOM

  Phone

  +4401133501820

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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

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  • · 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 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

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  • · 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 Eligible Counterparty, Professional, 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

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  • · 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 Eligible Counterparty, Professional, 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 (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · 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 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), 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

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  • · 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, 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 1 limitation Hide limitations

  • · 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.

• Alexander Brotherston

  IRN AXB01372

  • SMF3 Executive Director (4 Dec 2020 to 31 Oct 2025)
  • SMF1 Chief Executive (4 Dec 2020 to 31 Oct 2025)
• Andrew Gresham Vaughan

  IRN AGV01003

  • [FCA CF] Client dealing (10 Mar 2021 to 31 May 2021)
  • [FCA CF] Functions requiring qualifications (10 Mar 2021 to 31 May 2021)
  • [FCA CF] Material risk taker (10 Mar 2021 to 31 May 2021)
• Chloe Taylor Smith

  IRN CXS00588

  • 14. Managing investments
  • [FCA CF] Material risk taker (since 15 Jul 2022)
  • [FCA CF] Client dealing (since 15 Jul 2022)
  • [FCA CF] Functions requiring qualifications (since 15 Jul 2022)
• David Beggs

  IRN DXB00431

  • 14. Managing investments
  • [FCA CF] Client dealing (since 15 Jul 2022)
  • [FCA CF] Functions requiring qualifications (since 15 Jul 2022)
  • [FCA CF] Material risk taker (since 10 Mar 2021)
• Emmanuel Clive Pohl

  IRN EXP00299

  • SMF9 Chair of the Governing Body (since 31 Oct 2025)
  • SMF1 Chief Executive (since 31 Oct 2025)
  • SMF3 Executive Director (since 31 Oct 2025)
• Eric Burns

  IRN ERB01012

  • 14. Managing investments
  • [FCA CF] Material risk taker (since 10 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 10 Mar 2021)
  • [FCA CF] Client dealing (since 10 Mar 2021)
  • [FCA CF] Manager of certification employee (since 10 Mar 2021)
• John William O'Donnell

  IRN JWO01008

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Jan 2021)
  • SMF16 Compliance Oversight (since 1 Jan 2021)
• Keith Richard Ashworth-Lord

  IRN KRA00006

  • [FCA CF] Client dealing (10 Mar 2021 to 31 Oct 2025)
  • [FCA CF] Functions requiring qualifications (10 Mar 2021 to 31 Oct 2025)
  • [FCA CF] Manager of certification employee (10 Mar 2021 to 31 Oct 2025)
  • [FCA CF] Material risk taker (10 Mar 2021 to 31 Oct 2025)
  • SMF3 Executive Director (4 Dec 2020 to 31 Oct 2025)
• Rex Alastair Orton

  IRN RXO10016

  • SMF9 Chair of the Governing Body (4 Dec 2020 to 31 Oct 2025)
• Ryan Anthony Rajkumar

  IRN RAR01054

  • CF30 Customer (since 18 Feb 2026)
  • SMF3 Executive Director (since 31 Oct 2025)

• ECP Asset Management UK Limited

  FRN 1023041 · Appointed 18 Feb 2026

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