Schroder Investment Management Limited

• 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

• 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 Hide 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 Hide limitations

  • · 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 Hide 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 Hide 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 Hide 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 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.
  • · 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

• Thomas Lloyd Mermagen

  IRN TLM01006

  • CF27 Investment Management (1 Dec 2001 to 31 Jul 2002)
• Thomas See

  IRN TXS01378

  • CF30 Customer (1 Nov 2007 to 4 Jul 2016)
  • CF21 Investment Adviser (3 Sep 2007 to 31 Oct 2007)
  • CF27 Investment Management (1 May 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (23 Nov 2005 to 3 Sep 2007)
• Thomas Silber

  IRN TXS03579

  • [FCA CF] Manager of certification employee (since 1 Oct 2020)
  • [FCA CF] Client dealing (since 1 Oct 2020)
• Thomas Smith

  IRN TXS03692

  • [FCA CF] Client dealing (since 22 Jun 2021)
• Thomas Wilson

  IRN TCW01053

  • [FCA CF] Client dealing (since 20 Jan 2026)
• Tien Dung Truong

  IRN TDT01012

  • CF30 Customer (3 Aug 2016 to 8 Dec 2019)
• Timothy Charles Bailey

  IRN TCB01043

  • CF27 Investment Management (1 Dec 2001 to 19 Dec 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 19 Dec 2002)
• Timothy David Carr

  IRN TDC01045

  • [FCA CF] Client dealing (since 1 Oct 2020)
  • [FCA CF] Manager of certification employee (23 Mar 2021 to 25 Mar 2024)
  • CF30 Customer (30 Nov 2011 to 8 Dec 2019)
• Timothy David Horne

  IRN TDH01045

  • [FCA CF] Manager of certification employee (1 Oct 2020 to 13 Mar 2025)
  • [FCA CF] Client dealing (1 Oct 2020 to 4 Jan 2022)
  • CF30 Customer (22 Dec 2011 to 8 Dec 2019)
• Timothy Giorgio Pedroni

  IRN TGP01020

  • [FCA CF] Client dealing (since 18 Jan 2022)

• David Lester (no longer appointed)

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

No changes recorded yet.