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

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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 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".

• Genevieve Maria Humphreys

  IRN GXH09425

  • SMF16 Compliance Oversight (21 Feb 2022 to 25 Nov 2024)
• Graham Hodge Webster

  IRN GHW01018

  • CF2 Non Executive Director (26 Jan 2006 to 1 Jan 2009)
• James Galbraith

  IRN JXG01327

  • SMF1 Chief Executive (9 Dec 2019 to 15 Apr 2021)
  • SMF3 Executive Director (9 Dec 2019 to 15 Apr 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 15 Apr 2021)
  • CF3 Chief Executive (1 Jan 2017 to 8 Dec 2019)
  • CF28 Systems and controls (1 Nov 2007 to 31 Dec 2016)
  • CF1 Director (11 Sep 2006 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF15 Internal Audit (30 Oct 2003 to 31 Oct 2007)
  • CF14 Risk Assessment (1 Dec 2001 to 31 Oct 2007)
• John George Campbell

  IRN JGC01062

  • CF27 Investment Management (1 Dec 2001 to 3 Jul 2004)
• John Gerald McGuigan

  IRN JGM01160

  • SMF9 Chair of the Governing Body (since 24 Apr 2024)
• John Mark Laidlaw

  IRN JML01066

  • Director of firm who is not a certification employee or a SMF manager (since 25 Sep 2024)
• Julian Edward Campbell Fosh

  IRN JEF00005

  • CF27 Investment Management (1 Dec 2001 to 2 Mar 2004)
• Kerr Luscombe

  IRN KXL01156

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 27 Apr 2022)
  • CF2 Non Executive Director (1 Feb 2017 to 8 Dec 2019)
• Kevin Joseph Michael McInally

  IRN KXM00550

  • SMF16 Compliance Oversight (since 25 Nov 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Mar 2023)
• Liam Gilmore

  IRN LXG01310

  • CF10a CASS Oversight function (1 Oct 2011 to 15 Feb 2013)
  • CF28 Systems and controls (15 Sep 2010 to 13 Oct 2015)

No changes recorded yet.