Scottish Friendly Asset Managers Limited

• Principal Place of Business

  Galbraith House

  16 Blythswood Square

  Glasgow

  Lanarkshire

  G2 4HJ

  UNITED KINGDOM

  Phone

  +4401412755000

  Web

  https://www.scottishfriendly.co.uk

• Complaints Contact

  Galbraith House

  16 Blythswood Square

  Glasgow

  Lanarkshire

  G2 4HJ

  UNITED KINGDOM

  Phone

  +4401412755000

• Authorised to Operate

  Show 1 limitation Hide limitations

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

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 7 limitations Hide limitations

  • · Limited to Investment Company with Variable Capital activities and in carrying on such activities to the specified investments listed other than "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "commodity future", "life policy", "funeral plan contract" and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments) for the customer type "retail client".
  • · Limited to Investment Company with Variable Capital activities and, in carrying on such activities to the specified investments listed other than "stakeholder pension scheme", and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer type "retail client".
  • · The specified investments "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)" and "rights to or interests in investment - contractually based investments", (when the latter is associated with this specified investment), are limited to Efficient Portfolio Management activities and the customer type "retail client".
  • · Limited to Investment Company with Variable Capital share exchange activities and in carrying on such activities to the specified investments listed other than contractually based investments.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to ISA management activities and in carrying on these operations to the specified investments "life policies", "unit", "rights to or interests in investments - security (when the latter is associated with these specified investments)", "rights to or interests in investments - contractually based investment (when the latter is associated with these specified investments)", and to the custome r types "retail client" and "professional client".

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Stockbroking

  For Professional, Retail (Investment), 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, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Limited to Investment Company with Variable Capital activities and in carrying on such activities to the specified investments listed other than "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "commodity future", "life policy", "funeral plan contract" and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments) for the customer type "retail client".
  • · Limited to Investment Company with Variable Capital activities and, in carrying on such activities to the specified investments listed other than "stakeholder pension scheme", and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer type "retail client".
  • · The specified investments "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)" and "rights to or interests in investment - contractually based investments", (when the latter is associated with this specified investment), are limited to Efficient Portfolio Management activities and the customer type "retail client".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to ISA management activities and in carrying on these operations to the specified investments "life policies", "unit", "rights to or interests in investments - security (when the latter is associated with these specified investments)", "rights to or interests in investments - contractually based investment (when the latter is associated with these specified investments)", and to the custome r types "retail client" and "professional client".

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Unit

  Show 2 limitations Hide limitations

  • · Limited to ICVC box management activities and in carrying on such activities to the specified investments, "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot f orex contract) and rights to or interests in investments - contractually based investments", (when the later is associated with these specified investments).
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  For Professional, Retail (Investment), 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, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Limited to Investment Company with Variable Capital activities and in carrying on such activities to the specified investments listed other than "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "commodity future", "life policy", "funeral plan contract" and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments) for the customer type "retail client".
  • · Limited to Investment Company with Variable Capital activities and, in carrying on such activities to the specified investments listed other than "stakeholder pension scheme", and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer type "retail client".
  • · The specified investments "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)" and "rights to or interests in investment - contractually based investments", (when the latter is associated with this specified investment), are limited to Efficient Portfolio Management activities and the customer type "retail client".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to ISA management activities and in carrying on these operations to the specified investments "life policies", "unit", "rights to or interests in investments - security (when the latter is associated with these specified investments)", "rights to or interests in investments - contractually based investment (when the latter is associated with these specified investments)", and to the custome r types "retail client" and "professional client".

• Retail Investment Funds

• Manages Your Portfolio

  For Professional, Retail (Investment), 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, 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, Spread Bet, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Limited to Investment Company with Variable Capital activities and in carrying on such activities to the specified investments listed other than "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "commodity future", "life policy", "funeral plan contract" and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments) for the customer type "retail client".
  • · Limited to Investment Company with Variable Capital activities and, in carrying on such activities to the specified investments listed other than "stakeholder pension scheme", and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer type "retail client".
  • · The specified investments "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)" and "rights to or interests in investment - contractually based investments", (when the latter is associated with this specified investment), are limited to Efficient Portfolio Management activities and the customer type "retail client".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to ISA management activities and in carrying on these operations to the specified investments "life policies", "unit", "rights to or interests in investments - security (when the latter is associated with these specified investments)", "rights to or interests in investments - contractually based investment (when the latter is associated with these specified investments)", and to the custome r types "retail client" and "professional client".

• Agnes Phuong-Mai Fenton

  IRN AXF00577

  • Director of firm who is not a certification employee or a SMF manager (since 25 Sep 2024)
• Aileen Brown

  IRN AXB02093

  • CF28 Systems and controls (4 Feb 2016 to 16 May 2016)
• Aileen Maxwell Abernethy

  IRN AMA01020

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Mar 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 12 Nov 2021)
  • CF10 Compliance Oversight (12 Jan 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2003 to 8 Dec 2019)
• Alan Rankine

  IRN AXR02972

  • SMF3 Executive Director (since 23 Dec 2022)
• Alexander Douglas Forbes

  IRN ADF01047

  • CF2 Non Executive Director (1 Dec 2001 to 31 Dec 2005)
• Anja Maria Balfour

  IRN AMB01093

  • Director of firm who is not a certification employee or a SMF manager (since 27 Apr 2022)
• Colin Edgar Saxby

  IRN CES01062

  • CF28 Systems and controls (1 Nov 2007 to 31 Jan 2011)
  • CF13 Finance (1 Dec 2005 to 31 Oct 2007)
• David Aiken Elston

  IRN DAE01022

  • CF28 Systems and controls (7 Mar 2016 to 5 May 2016)
  • CF10 Compliance Oversight (1 Jul 2011 to 19 Jan 2016)
• David Charles Huntley

  IRN DCH01077

  • SMF9 Chair of the Governing Body (4 May 2020 to 24 Apr 2024)
• Fiona Catherine McBain

  IRN FCM00007

  • CF1 Director (1 Jan 2006 to 31 Dec 2016)
  • CF8 Apportionment and Oversight (1 Jan 2006 to 31 Oct 2007)
  • CF3 Chief Executive (1 Jan 2006 to 31 Dec 2016)
  • CF10 Compliance Oversight (1 Jan 2006 to 1 Jul 2011)
  • CF13 Finance (1 Dec 2001 to 30 Nov 2005)

No changes recorded yet.