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.

• Neal Robert Waterton

  IRN NRW01053

  • CF27 Investment Management (1 Dec 2001 to 1 Apr 2004)
• Neil Philip Walton

  IRN NPW01048

  • [FCA CF] Client dealing (since 18 Jan 2023)
  • [FCA CF] Manager of certification employee (since 14 Jan 2023)
• Neil Scott Cumming

  IRN NSC01041

  • CF30 Customer (31 Jul 2009 to 15 Apr 2011)
  • CF27 Investment Management (10 May 2004 to 31 Oct 2007)
• Niall Alexander

  IRN NXA01640

  • [FCA CF] Manager of certification employee (9 Sep 2020 to 12 Feb 2021)
  • [FCA CF] Significant management (9 Sep 2020 to 12 Feb 2021)
  • [FCA CF] Material risk taker (9 Sep 2020 to 12 Feb 2021)
  • [FCA CF] Client dealing (9 Sep 2020 to 12 Feb 2021)
  • CF30 Customer (15 Dec 2014 to 8 Dec 2019)
• Niall Philip Coyne

  IRN NXC01227

  • CF30 Customer (1 Nov 2007 to 6 May 2008)
  • CF26 Customer Trading (25 Aug 2005 to 31 Oct 2007)
• Nicholas Beale

  IRN NXB00414

  • [FCA CF] Client dealing (since 5 Jan 2023)
• Nicholas John Fisher

  IRN NJF01088

  • CF10 Compliance Oversight (30 Jul 2014 to 4 Jan 2016)
  • CF11 Money Laundering Reporting (30 Jul 2014 to 4 Jan 2016)
• Nicholas John Rickard

  IRN NJR01043

  • CF30 Customer (1 Nov 2007 to 8 Apr 2008)
  • CF27 Investment Management (7 Dec 2006 to 31 Oct 2007)
• Nicola Jeanna Oleinik

  IRN NJO01028

  • CF26 Customer Trading (9 Aug 2005 to 19 May 2007)
• Nikhil Aggarwal

  IRN NXA01566

  • [FCA CF] Client dealing (since 9 Sep 2020)
  • CF30 Customer (26 Aug 2013 to 8 Dec 2019)

• 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.