Schroders IS Limited

• Principal Place of Business

  Schroder Investment Management Ltd

  1 London Wall Place

  London

  City Of London

  EC2Y 5AU

  UNITED KINGDOM

  Phone

  +4402076586000

  Web

  https://www.schroders.com

• Complaints Contact

  Schroder Investment Management Ltd

  1 London Wall Place

  London

  City Of London

  EC2Y 5AU

  UNITED KINGDOM

  Phone

  +4402076586000

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• John Gerrard Conroy

  IRN JGC01067

  • [FCA CF] Client dealing (9 Sep 2020 to 30 Sep 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• John Gilfillan

  IRN JXG01512

  • CF30 Customer (1 Nov 2007 to 18 May 2012)
  • CF27 Investment Management (30 Jan 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (30 Jan 2007 to 31 Oct 2007)
• John Irwin

  IRN JSI01013

  • [FCA CF] Manager of certification employee (9 Sep 2020 to 29 Jan 2022)
  • [FCA CF] Client dealing (9 Sep 2020 to 29 Jan 2022)
  • CF30 Customer (3 Mar 2014 to 8 Dec 2019)
• John Misselbrook

  IRN JXM01517

  • CF2 Non Executive Director (16 Feb 2018 to 8 Dec 2019)
• John Patrick Clarke

  IRN JXC02103

  • [FCA CF] Material risk taker (since 21 Oct 2025)
• John Paul Batting

  IRN JPB01087

  • CF30 Customer (1 Nov 2007 to 11 Jul 2011)
  • CF21 Investment Adviser (4 Feb 2004 to 31 Oct 2007)
• Jonathan Christopher Warner Manning

  IRN JCM01227

  • CF30 Customer (19 Sep 2011 to 15 Nov 2013)
• Jonathan Cole

  IRN JXC78357

  • SMF16 Compliance Oversight (31 Mar 2022 to 16 Dec 2023)
• Jonathan Dominic Punter

  IRN JDP01043

  • CF2 Non Executive Director (5 Sep 2014 to 2 Jul 2019)
  • Responsible for Insurance Mediation (10 Feb 2005 to 15 Aug 2014)
  • CF1 Director (1 Dec 2001 to 15 Aug 2014)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 3 Apr 2014)
• Jonathan Donald Sherlock Dawson

  IRN JDD01024

  • CF2 Non Executive Director (11 Sep 2017 to 8 Dec 2019)

• River and Mercantile Infrastructure LLP (no longer appointed)

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• PSigma Asset Management Ltd (no longer appointed)

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• Punter Southall Investment Consulting Ltd (no longer appointed)

  FRN 495989 · Appointed 5 Feb 2009 · Until 8 Jul 2011

• Craven Street Capital Limited (no longer appointed)

  FRN 463083 · Appointed 26 Jan 2007 · Until 4 Apr 2013 · Tied agent

• PSigma Asset Management Ltd (no longer appointed)

  FRN 462764 · Appointed 22 Jan 2007 · Until 21 Nov 2008

• Sanlam Multi Manager International Ltd (no longer appointed)

  FRN 231671 · Appointed 16 Feb 2004 · Until 7 Feb 2005

No changes recorded yet.