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".

• Malcom Ramsay

  IRN MXR01270

  • CF27 Investment Management (1 Dec 2001 to 1 Jul 2004)
• Martin John Pringle

  IRN MJP01323

  • SMF1 Chief Executive (24 Aug 2021 to 22 May 2022)
  • Responsible for Insurance Distribution (24 Aug 2021 to 22 May 2022)
  • SMF3 Executive Director (9 Feb 2021 to 23 Dec 2022)
  • CF28 Systems and controls (3 Aug 2016 to 8 Dec 2019)
• Michael Jack Selves

  IRN MJS01654

  • CF28 Systems and controls (6 Oct 2016 to 18 May 2018)
• Michael John Walker

  IRN MJW01325

  • SMF9 Chair of the Governing Body (9 Dec 2019 to 27 May 2020)
  • CF2 Non Executive Director (1 Jan 2009 to 8 Dec 2019)
• Michael Louden

  IRN MXL01330

  • CF11 Money Laundering Reporting (1 Dec 2001 to 29 Oct 2003)
  • CF15 Internal Audit (1 Dec 2001 to 29 Oct 2003)
• Olive Nora Gaughan

  IRN OXG00078

  • Director of firm who is not a certification employee or a SMF manager (since 25 Sep 2024)
• Peter Gordon John Docherty

  IRN PGD01076

  • CF28 Systems and controls (7 Apr 2015 to 15 Jan 2016)
• Robert Glen Thomson

  IRN RGT01054

  • CF1 Director (1 Dec 2001 to 31 Dec 2005)
  • CF3 Chief Executive (1 Dec 2001 to 31 Dec 2005)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Dec 2005)
  • CF10 Compliance Oversight (1 Dec 2001 to 31 Dec 2005)
• Stephen James McGee

  IRN SJM01448

  • SMF1 Chief Executive (since 20 May 2022)
• Susan Lesley Beckett

  IRN SLS01027

  • Director of firm who is not a certification employee or a SMF manager (since 23 Sep 2020)

No changes recorded yet.