Schroders IS Limited

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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · 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
    • · 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
    • · 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.

  • Stephen Bowles

    IRN SXB00417

    • [FCA CF] Manager of certification employee (8 Jun 2022 to 13 Jun 2022)
    • [FCA CF] Client dealing (8 Jun 2022 to 19 Mar 2024)
  • Stephen Mark Leake

    IRN SML01060

    • CF27 Investment Management (1 Dec 2001 to 1 Apr 2004)
  • Steve David Wakefield

    IRN SDW01081

    • CF16 Significant Mgt (Desgntd Investment Business) (15 Nov 2004 to 10 Apr 2006)
  • Stuart James Geard

    IRN SJG01233

    • CF2 Non Executive Director (14 Jan 2010 to 28 Sep 2012)
  • Stuart Malcolm Southall

    IRN SMS01129

    • CF27 Investment Management (1 Dec 2001 to 1 Apr 2004)
  • Sunil Patel

    IRN SXP00739

    • [FCA CF] Manager of certification employee (since 14 Mar 2023)
    • [FCA CF] Client dealing (since 14 Mar 2023)
  • Sushma Subhash Rose

    IRN SST01033

    • [FCA CF] Material risk taker (22 Sep 2022 to 28 Aug 2025)
  • Tamsin Evans

    IRN TXH01364

    • [FCA CF] Significant management (9 Sep 2020 to 21 Jun 2022)
    • [FCA CF] Client dealing (9 Sep 2020 to 21 Jun 2022)
    • [FCA CF] Manager of certification employee (9 Sep 2020 to 21 Jun 2022)
    • [FCA CF] Material risk taker (9 Sep 2020 to 21 Jun 2022)
    • SMF3 Executive Director (9 Dec 2019 to 21 Jun 2022)
    • CF1 Director (3 Dec 2019 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (13 Jun 2007 to 31 Oct 2007)
  • Tessa Elizabeth Kohn-Speyer

    IRN TEK01003

    • CF27 Investment Management (10 Sep 2003 to 30 Jun 2007)
  • Thomas Andrew Williams

    IRN TAW01083

    • [FCA CF] Client dealing (since 3 Oct 2022)
    • [FCA CF] Manager of certification employee (since 3 Oct 2022)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.