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

• Nicholas Pont

  IRN NJP01143

  • [FCA CF] Manager of certification employee (7 Jul 2021 to 10 Jun 2024)
  • [FCA CF] Client dealing (1 Oct 2020 to 10 Jun 2024)
  • CF30 Customer (8 Mar 2019 to 8 Dec 2019)
• Nicholas Robert Morse

  IRN NRM01049

  • CF30 Customer (1 Nov 2007 to 17 Oct 2014)
  • CF27 Investment Management (14 Jul 2005 to 31 Oct 2007)
• Nicholas Robinson

  IRN NJR01078

  • CF30 Customer (1 Nov 2007 to 30 Jun 2016)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Nicholas Rupert MacAndrew

  IRN NRM01029

  • CF1 Director (1 Dec 2001 to 15 Apr 2002)
• Nicholas Saunders Kirrage

  IRN NSK01014

  • [FCA CF] Material risk taker (26 Sep 2022 to 31 Jul 2025)
  • [FCA CF] Manager of certification employee (1 Oct 2020 to 31 Jul 2025)
  • [FCA CF] Client dealing (1 Oct 2020 to 31 Jul 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (2 Aug 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (22 Dec 2004 to 2 Aug 2006)
• Nicholas Terence Henry Kissack

  IRN NTK01009

  • [FCA CF] Client dealing (1 Oct 2020 to 5 Feb 2025)
  • CF30 Customer (27 Mar 2018 to 8 Dec 2019)
• Nicholas Thompson

  IRN NXT01163

  • [FCA CF] Client dealing (since 1 Oct 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (2 Jun 2005 to 31 Oct 2007)
• Nicholette Ann MacDonald-Brown

  IRN NAM01101

  • [FCA CF] Client dealing (1 Oct 2020 to 24 Jul 2024)
  • [FCA CF] Manager of certification employee (1 Oct 2020 to 24 Jul 2024)
  • CF30 Customer (21 Sep 2011 to 8 Dec 2019)
• Nicola Jane Richards

  IRN NJR01105

  • CF1 Director (4 Aug 2016 to 3 Apr 2019)
  • CF29 Significant management (13 May 2014 to 3 Apr 2019)
• Nicolaas Floris Marais

  IRN NFM01013

  • CF1 Director (10 Sep 2012 to 27 Feb 2015)
  • CF30 Customer (14 Jul 2011 to 14 Jul 2011)
  • CF29 Significant management (14 Jul 2011 to 22 Jun 2016)

• David Lester (no longer appointed)

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

No changes recorded yet.