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

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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.

• 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.

• Keith Jeffrey Horstead

  IRN KJH01047

  • CF30 Customer (1 Nov 2007 to 30 Jun 2008)
  • CF27 Investment Management (22 Nov 2005 to 31 Oct 2007)
• Kejing Zhong

  IRN KXZ00033

  • [FCA CF] Client dealing (1 Feb 2025 to 13 Aug 2025)
• Kenneth Alexander Nicoll

  IRN KAN01012

  • [FCA CF] Client dealing (8 Aug 2022 to 28 Feb 2023)
• Kenneth John McKelvey

  IRN KJM01073

  • CF2 Non Executive Director (13 Oct 2006 to 15 Aug 2014)
  • CF1 Director (1 Dec 2001 to 2 Oct 2006)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 2 Oct 2006)
• Kevin James Patrick Hayes

  IRN KJH01075

  • CF11 Money Laundering Reporting (21 Mar 2016 to 21 Aug 2017)
  • CF10 Compliance Oversight (21 Mar 2016 to 21 Aug 2017)
  • CF28 Systems and controls (21 Mar 2016 to 15 Oct 2018)
  • CF1 Director (24 Apr 2014 to 9 Dec 2019)
• Kevin Khoi Hung Dieu

  IRN KXD00168

  • [FCA CF] Client dealing (since 4 May 2021)
• Kristy Louise Patterson

  IRN KLP01019

  • CF30 Customer (1 Nov 2007 to 14 Oct 2009)
  • CF26 Customer Trading (11 Jan 2005 to 31 Oct 2007)
• Lara Christina Sania Van Poeteren

  IRN LXV01093

  • [FCA CF] Client dealing (8 Aug 2022 to 30 Apr 2025)
• Lara Jane Edmonstone-West

  IRN LXE01128

  • CF30 Customer (10 Sep 2012 to 3 Nov 2014)
• Laura Hutchinson

  IRN LXH00428

  • [FCA CF] Manager of certification employee (since 2 Sep 2025)
  • [FCA CF] Client dealing (since 2 Sep 2025)

• River and Mercantile Infrastructure LLP (no longer appointed)

  FRN 949495 · Appointed 21 Apr 2021 · Until 31 Jan 2022

• PSigma Asset Management Ltd (no longer appointed)

  FRN 462764 · Appointed 27 Feb 2009 · Until 15 Apr 2011

• 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.