Schroders IS Limited

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FRN: 195028
Date authorised: 1 April 2013
Companies House: 03359127
Last scraped: 3 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

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
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.
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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Sarah May Gwinnett
IRN SMG01104
- CF30 Customer (1 Nov 2007 to 6 Jun 2011)
- CF26 Customer Trading (14 Jan 2005 to 31 Oct 2007)
Sathish Ramdayal
IRN SXR01556
- CF30 Customer (4 Feb 2009 to 15 Jun 2010)
Scott Russell Gibb
IRN SRG01060
- CF27 Investment Management (5 Nov 2004 to 4 Aug 2006)
- CF22 Investment Adviser (Trainee) (9 Jan 2004 to 4 Aug 2006)
Sean Breslin
IRN SWB01103
- [FCA CF] Manager of certification employee (9 Sep 2020 to 31 Jan 2022)
- [FCA CF] Material risk taker (9 Sep 2020 to 31 Jan 2022)
- [FCA CF] Significant management (9 Sep 2020 to 31 Jan 2022)
- SMF16 Compliance Oversight (9 Dec 2019 to 31 Jan 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Jan 2022)
- CF10 Compliance Oversight (18 Aug 2017 to 8 Dec 2019)
- CF11 Money Laundering Reporting (18 Aug 2017 to 8 Dec 2019)
Seton Hiram Craven
IRN SHC01021
- CF30 Customer (1 Nov 2007 to 30 Jun 2008)
- CF27 Investment Management (21 Mar 2006 to 31 Oct 2007)
Shawn Michael Spilsbury
IRN SMS01138
- CF10 Compliance Oversight (14 Apr 2003 to 30 Nov 2004)
- CF11 Money Laundering Reporting (14 Apr 2003 to 30 Nov 2004)
Sheena Margaret Freestone
IRN SMF01100
- CF30 Customer (9 Aug 2010 to 17 Nov 2011)
Shriya Gupta
IRN SXG00744
- [FCA CF] Client dealing (since 28 Nov 2023)
Simon Henry Mooney
IRN SHM01053
- CF30 Customer (14 Oct 2008 to 13 May 2011)
Simon Robert Jones
IRN SRJ01019
- CF30 Customer (1 Nov 2007 to 29 Sep 2011)
- CF21 Investment Adviser (22 Jun 2005 to 31 Oct 2007)
- CF27 Investment Management (22 Jun 2005 to 31 Oct 2007)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.