SARASIN ASSET MANAGEMENT LIMITED

• Principal Place of Business

  50 George Street

  London

  W1U 7DY

  UNITED KINGDOM

  Phone

  +4402070387000

  Web

  https://www.sarasinassetmanagement.com

• Complaints Contact

  50 George Street

  London

  W1U 7DY

  UNITED KINGDOM

  Phone

  +442070387276

• Investment Advice (no pensions)

  For Eligible Counterparty, 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, 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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  • · 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, 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, 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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  • · 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, 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, 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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  • · 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, 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, 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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  • · 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, 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, 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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  • · 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 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, 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 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.

• Joanne Margaret Wilkinson

  IRN JML01080

  • CF11 Money Laundering Reporting (3 Jun 2015 to 23 Aug 2016)
• John Griscti Soler

  IRN JXS01847

  • [FCA CF] Client dealing (26 Mar 2021 to 6 Oct 2022)
  • CF30 Customer (24 Jun 2013 to 8 Dec 2019)
• Julie Anne Paget

  IRN JAP01292

  • [FCA CF] Significant management (since 26 Mar 2021)
  • [FCA CF] Material risk taker (since 26 Mar 2021)
• Justine Kate Gordon

  IRN JKG01032

  • [FCA CF] Manager of certification employee (26 Mar 2021 to 22 Dec 2025)
  • [FCA CF] Material risk taker (26 Mar 2021 to 22 Dec 2025)
  • [FCA CF] Significant management (26 Mar 2021 to 22 Dec 2025)
• Lee Hossain

  IRN LXH01306

  • [FCA CF] Algorithmic trading (since 26 Mar 2021)
  • [FCA CF] Client dealing (since 26 Mar 2021)
  • CF26 Customer Trading (26 Jul 2005 to 29 Jul 2005)
• Lorraine Gomez Francisco

  IRN LFS01031

  • [FCA CF] Material risk taker (since 26 Mar 2021)
  • [FCA CF] Significant management (since 26 Mar 2021)
  • CF28 Systems and controls (7 Feb 2017 to 8 Dec 2019)
• Louise Anne Harris

  IRN LAH01097

  • [FCA CF] Significant management (29 Jul 2020 to 10 May 2021)
  • [FCA CF] Material risk taker (29 Jul 2020 to 10 May 2021)
• Matthew Christian William Hicks

  IRN MCH01120

  • [FCA CF] Material risk taker (since 26 Mar 2021)
  • [FCA CF] Significant management (since 26 Mar 2021)
  • CF28 Systems and controls (12 Aug 2008 to 8 Dec 2019)
• Matthew Henry Burrows

  IRN MHB01059

  • CF30 Customer (6 Dec 2012 to 24 Jan 2013)
• Michael Jamie Gordon Black

  IRN MJB01262

  • [FCA CF] Client dealing (since 29 Jul 2021)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF9 Chair of the Governing Body (8 Jun 2022 to 24 Nov 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (30 Mar 2005 to 31 Oct 2007)
  • CF3 Chief Executive (30 Mar 2005 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)

No changes recorded yet.