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.

  • William Baker

    IRN WGB01035

    • (312)[FCA CF] Client dealing (since 1 Oct 2020)
    • (948)CF30 Customer (20 Jul 2015 to 8 Dec 2019)
  • William Casey

    IRN BXC01336

    • (398)[FCA CF] Client dealing (since 1 Oct 2020)
    • (1032)CF30 Customer (27 Feb 2018 to 8 Dec 2019)
  • William Hugh Baker

    IRN WHB01010

    • (351)CF21 Investment Adviser (1 Dec 2001 to 31 May 2002)
    • (350)CF27 Investment Management (1 Dec 2001 to 31 May 2002)
  • William Hutchings

    IRN WKH01009

    • (168)[FCA CF] Client dealing (since 8 Aug 2023)
  • William Michael Fitzgerald Scott

    IRN WMS01031

    • (1039)CF30 Customer (27 Jun 2011 to 5 Nov 2018)
  • William Michael Hardy Piercy

    IRN WMP01008

    • (177)[FCA CF] Client dealing (since 25 Apr 2023)
  • William Psomadelis

    IRN WXP00074

    • (152)[FCA CF] Client dealing (since 9 Jan 2024)
  • William Roderick

    IRN WXR00024

    • (478)[FCA CF] Client dealing (29 Jul 2020 to 17 Dec 2024)
  • Wojciech Zygmunt Herchel

    IRN WZH01000

    • (736)[FCA CF] Manager of certification employee (23 Mar 2021 to 8 Apr 2024)
    • (735)[FCA CF] Client dealing (1 Oct 2020 to 8 Apr 2024)
    • (734)CF30 Customer (10 Jun 2016 to 8 Dec 2019)
  • Xiao Wang

    IRN XXW01108

    • (216)[FCA CF] Client dealing (since 3 Jan 2023)
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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: (507)[FCA CF] Client dealing

  2. controlled function added: (506)[FCA CF] Client dealing

  3. controlled function added: (505)[FCA CF] Manager of certification employee

  4. controlled function added: (504)[FCA CF] Client dealing

  5. controlled function added: (503)[FCA CF] Client dealing

  6. controlled function added: (502)[FCA CF] Manager of certification employee

  7. controlled function added: (501)[FCA CF] Client dealing

  8. controlled function added: (500)[FCA CF] Manager of certification employee

  9. controlled function added: (499)[FCA CF] Client dealing

  10. controlled function added: (498)[FCA CF] Manager of certification employee

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