SCHRODER & CO. LIMITED

• Principal Place of Business

  Schroder & Co Ltd

  1 London Wall Place

  London

  City Of London

  EC2Y 5AU

  UNITED KINGDOM

  Phone

  +4402076586000

  Web

  http://www.cazenovecapital.com

• Complaints Contact

  1 London Wall Place

  London

  EC2Y 5AU

  UNITED KINGDOM

  Phone

  +442076586000

• Bank Deposits

  For All, Deposit

• Mortgage Servicing

  For Customer, Regulated mortgage contract

• P2P Lending Advice

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

  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.

• Land Loan Advice

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• 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, Funeral plan contract, 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, 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.

• 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, Funeral plan contract, 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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

  Show 3 limitations Hide limitations

  • · 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.
  • · The firm, in carrying out this regulated activity, is limited to entering into transactions in a manner which, if the firm was an unauthorised person, would come within article 16 of the RAO.

• Mortgage Lending

  For Customer, Regulated mortgage contract

• Consumer Loans

• Loan Servicing

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" 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, Funeral plan contract, 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Holds Your Assets

  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, Funeral plan contract, 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, 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.

• Jennifer Megan Perry

  IRN JMP01251

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • 14. Managing investments
  • [FCA CF] Client dealing (since 13 Jul 2020)
  • [FCA CF] Functions requiring qualifications (since 13 Jul 2020)
• Jeremy Barker

  IRN JNB01051

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 7 Mar 2016)
  • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
  • CF30 Customer (28 Jan 2014 to 6 Mar 2016)
• Jeremy Eric Onions

  IRN JXO01125

  • [FCA CF] Material risk taker (since 7 Mar 2016)
  • [FCA CF] Manager of certification employee (since 7 Mar 2016)
  • [FCA CF] Client dealing (since 7 Mar 2016)
  • [FCA CF] Proprietary trader (since 7 Mar 2016)
  • CF29 Significant management (30 Jan 2012 to 6 Mar 2016)
• Jeremy Hervey

  IRN JVH01016

  • [FCA CF] Client dealing (21 Feb 2018 to 31 Jan 2024)
  • [FCA CF] Functions requiring qualifications (21 Feb 2018 to 31 Jan 2024)
  • [FCA CF] Material risk taker (21 Feb 2018 to 9 Jul 2025)
  • [FCA CF] Significant management (21 Feb 2018 to 31 Jan 2024)
  • [FCA CF] Manager of certification employee (7 Mar 2016 to 31 Jan 2024)
  • CF29 Significant management (11 May 2015 to 6 Mar 2016)
  • CF30 Customer (9 Jan 2014 to 6 Mar 2016)
• Jeremy Males

  IRN JRM01128

  • 3. Giving personal recommendations on derivatives
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 11 Jan 2018)
  • [FCA CF] Functions requiring qualifications (since 11 Jan 2018)
• Jeremy Michael Archer

  IRN JMA01064

  • CF30 Customer (14 Mar 2014 to 17 Jun 2014)
• Jeremy Turnbull

  IRN JWT01025

  • SMF16 Compliance Oversight (7 Mar 2016 to 9 Sep 2019)
  • SMF4 Chief Risk (7 Mar 2016 to 9 Sep 2019)
  • CF10 Compliance Oversight (24 Sep 2013 to 6 Mar 2016)
  • CF1 Director (23 Sep 2013 to 6 Mar 2016)
• Jeremy William Delano Brown

  IRN JWB01067

  • CF30 Customer (1 Nov 2007 to 3 Jun 2011)
  • CF21 Investment Adviser (30 Jun 2003 to 31 Oct 2007)
  • CF27 Investment Management (30 Jun 2003 to 31 Oct 2007)
• Jesse Saunderson

  IRN JXS01466

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 18 Jul 2023)
  • [FCA CF] Client dealing (since 18 Jul 2023)
• Jessica Elizabeth Berners Leigh-Pemberton

  IRN JEL01040

  • CF30 Customer (14 Apr 2014 to 6 Mar 2016)

• Synapse Ltd (no longer appointed)

  FRN 462032 · Appointed 2 Jan 2007 · Until 1 Mar 2011

No changes recorded yet.