Schroder Investment Management Limited

Date authorised
1 April 2013
Companies House
01893220
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Schroder Investment Management Ltd
    1 London Wall Place
    London
    City Of London
    EC2Y 5AU
    UNITED KINGDOM
    Phone
    +442076586000
    Web
    http://www.schroders.com

  • Complaints Contact

    Schroder Investment Management Ltd
    1 London Wall Place
    London
    City Of London
    EC2Y 5AU
    UNITED KINGDOM
    Phone
    +442076586000

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • 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, 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 7 limitations
    • · Limited to investment management activities for the specified customer types.
    • · 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.
    • · Limited to advisory-only activities.
    • · Limited to Investment Trust Savings Scheme marketing activities
    • · Limited to regulated and unregulated collective investment scheme marketing activities.
    • · Limited to regulated collective investment scheme as marketing group associate activities.

  • Authorised to Operate

    Show 1 limitation
    • · 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, 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 9 limitations
    • · Limited to sub-underwriting on behalf of a customer.
    • · Limited to Investment Trust Savings Scheme marketing activities
    • · Limited to regulated collective investment scheme as marketing group associate activities.
    • · Limited to regulated and unregulated collective investment scheme marketing activities.
    • · Limited to investment management activities for the specified customer types.
    • · 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.
    • · Limited to dealing-only activities.
    • · Limited to advisory-only activities.

  • 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

  • Trade Settlement Routing

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

  • 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 7 limitations
    • · Limited to investment management activities for the specified customer types.
    • · 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.
    • · Limited to advisory-only activities.
    • · Limited to dealing-only activities.
    • · Limited to repurchase agreement activities.
    • · Limited to stocklending activities.

  • Consumer Loans

  • Loan Servicing

  • 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, 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 8 limitations
    • · Limited to investment management activities for the specified customer types.
    • · 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.
    • · Limited to advisory-only activities.
    • · Limited to dealing-only activities.
    • · Limited to Investment Trust Savings Scheme marketing activities
    • · Limited to regulated and unregulated collective investment scheme marketing activities.
    • · Limited to regulated collective investment scheme as marketing group associate activities.

  • 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 3 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.
    • · Limited to investment management activities for the specified customer types.

  • 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

  • Electronic Trade Settlement

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Xin Gao

    IRN XXG01146

    • (699)[FCA CF] Client dealing (1 Oct 2020 to 11 Oct 2021)
  • Yang Yang

    IRN YXY16039

    • (140)[FCA CF] Client dealing (since 20 Mar 2024)
  • Yashica Reddy

    IRN YXR00014

    • (32)[FCA CF] Client dealing (since 14 Jun 2021)
  • Yat Tin Tang

    IRN YXT00043

    • (607)[FCA CF] Client dealing (13 Jul 2022 to 26 Jul 2024)
  • Yiannis Papas

    IRN YXP01017

    • (1145)CF26 Customer Trading (13 Nov 2002 to 31 Jan 2005)
  • Yinyan Huang

    IRN YXH01076

    • (163)CF30 Customer (22 Apr 2010 to 26 Nov 2013)
  • Yow Tzu Lim

    IRN YTL01004

    • (1300)[FCA CF] Client dealing (1 Oct 2020 to 28 Aug 2021)
    • (1301)[FCA CF] Manager of certification employee (1 Oct 2020 to 28 Aug 2021)
    • (1299)CF30 Customer (29 Aug 2018 to 8 Dec 2019)
  • Zafar Ahmadullah

    IRN ZXA01010

    • (1403)CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2002)
    • (1402)CF27 Investment Management (1 Dec 2001 to 14 Oct 2005)
  • Zahari Valchev Stoyanov

    IRN ZVS00002

    • (26)CF30 Customer (8 Jul 2016 to 8 Aug 2017)
  • Zoe MacLachlan

    IRN ZXM01018

    • (444)CF30 Customer (1 Nov 2007 to 29 Nov 2007)
    • (445)CF27 Investment Management (21 Nov 2002 to 31 Oct 2007)
    • (446)CF22 Investment Adviser (Trainee) (28 May 2002 to 21 Nov 2002)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

  • David Lester (no longer appointed)

    FRN 162388 · Appointed 2 Mar 1992 · Until 1 Dec 2001

Recent activity

Updates to this firm's record on the FCA register.

  1. controlled function added: (547)[FCA CF] Material risk taker

  2. controlled function added: (546)[FCA CF] Client dealing

  3. controlled function added: (545)[FCA CF] Manager of certification employee

  4. controlled function added: (544)SMF7 Group Entity Senior Manager

  5. controlled function added: (543)SMF18 Other Overall Responsibility

  6. controlled function added: (542)Director of firm who is not a certification employee or a SMF manager

  7. controlled function added: (541)SMF4 Chief Risk

  8. controlled function added: (540)SMF24 Chief Operations

  9. controlled function added: (539)[FCA CF] Manager of certification employee

  10. controlled function added: (538)[FCA CF] Material risk taker

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