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

• Justin Paul Simler

  IRN JPS01206

  • CF30 Customer (1 Nov 2007 to 18 Dec 2014)
  • CF27 Investment Management (19 Jan 2007 to 31 Oct 2007)
• Kaarthi Chandrasegaram

  IRN KXC00233

  • [FCA CF] Client dealing (since 17 Feb 2022)
• Kamaldeep Singh Matharu

  IRN KXM00302

  • [FCA CF] Material risk taker (21 Nov 2021 to 15 Sep 2022)
• Karen Susannah Shaw

  IRN KSS01058

  • CF30 Customer (1 Nov 2007 to 17 Dec 2011)
  • CF21 Investment Adviser (13 Jul 2007 to 31 Oct 2007)
• Kari Sigurdsson

  IRN KXS01958

  • [FCA CF] Client dealing (1 Oct 2020 to 30 Sep 2022)
• Karine Szenberg

  IRN KXS00294

  • [FCA CF] Manager of certification employee (since 24 Feb 2026)
  • [FCA CF] Significant management (since 24 Feb 2026)
  • [FCA CF] Material risk taker (since 24 Feb 2026)
  • SMF18 Other Overall Responsibility (5 Dec 2023 to 9 Feb 2026)
  • [FCA CF] Material risk taker (22 Sep 2022 to 4 Dec 2023)
• Karl Franklin Dasher

  IRN KFD01009

  • CF1 Director (10 Sep 2012 to 27 Feb 2013)
  • CF29 Significant management (1 May 2008 to 8 Dec 2019)
• Kate Auchterlonie

  IRN KXA00378

  • [FCA CF] Client dealing (22 Oct 2024 to 31 Jan 2026)
• Kate Emma Leppard

  IRN KEL01015

  • CF27 Investment Management (1 Oct 2002 to 22 Nov 2004)
  • CF21 Investment Adviser (1 Oct 2002 to 22 Nov 2004)
• Katharine Jane Seymour

  IRN KJS01063

  • CF27 Investment Management (1 Dec 2001 to 16 Jan 2002)

• David Lester (no longer appointed)

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

No changes recorded yet.