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

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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.

• Mohammad Saad Bin Sohail

  IRN MSS01175

  • [FCA CF] Material risk taker (since 1 Jul 2022)
  • [FCA CF] Significant management (since 1 Jul 2022)
  • [FCA CF] Algorithmic trading (since 26 Mar 2021)
  • [FCA CF] Client dealing (since 26 Mar 2021)
  • [FCA CF] Manager of certification employee (since 26 Mar 2021)
  • [PRA CF] Significant risk taker or Material risk taker (1 Jul 2022 to 28 Apr 2023)
• Neil Palan

  IRN NXP01511

  • [FCA CF] Algorithmic trading (since 26 Mar 2024)
  • [FCA CF] Client dealing (since 26 Mar 2024)
• Nicholas Andrew John Wood

  IRN NAW01048

  • [FCA CF] Client dealing (since 28 Jul 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (23 Jan 2013 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (10 Jul 2003 to 31 Oct 2007)
• Nicholas Lloyd Roberts

  IRN NLR01004

  • CF30 Customer (9 Sep 2008 to 18 May 2018)
• Owen James Quinn

  IRN OXQ00001

  • [FCA CF] Client dealing (since 11 Sep 2025)
• Paul Michael O'Connell

  IRN PMO01027

  • CF26 Customer Trading (25 Jul 2005 to 29 Jul 2005)
• Phoebe Woods

  IRN PXW00292

  • [FCA CF] Client dealing (since 9 Feb 2022)
• Richard William Jocelyn

  IRN RXJ01193

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Aug 2020)
  • SMF16 Compliance Oversight (since 15 May 2020)
• Robert Shillinglaw

  IRN RXS02590

  • [FCA CF] Significant management (since 21 Aug 2024)
  • [FCA CF] Material risk taker (since 21 Aug 2024)
• Ruadhri Andrew Charles Duncan

  IRN RAD01042

  • [FCA CF] Client dealing (since 29 Jul 2021)
  • SMF3 Executive Director (9 Dec 2019 to 12 Oct 2023)
  • CF1 Director (12 Nov 2018 to 8 Dec 2019)
  • CF30 Customer (12 Nov 2018 to 8 Dec 2019)

No changes recorded yet.