Scottish Widows Schroder Personal Wealth Limited

• Principal Place of Business

  25 Gresham Street

  London

  EC2V 7HN

  UNITED KINGDOM

  Phone

  +4408081092071

  Web

  https://www.spw.com

• Complaints Contact

  Schroders Personal Wealth

  1 City Square

  Leeds

  LS1 2ES

  UNITED KINGDOM

  Phone

  +4408081092071

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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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.

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Debt Plan Admin

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Matthew Beer

  IRN MXB02171

  • [FCA CF] Client dealing (since 3 Dec 2024)
• Matthew Brian Jones

  IRN MXJ01195

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 22 May 2020)
  • [FCA CF] Client dealing (since 22 May 2020)
• Matthew Clift

  IRN MXC00640

  • [FCA CF] Functions requiring qualifications (18 Nov 2021 to 6 Oct 2023)
  • [FCA CF] Client dealing (18 Nov 2021 to 6 Oct 2023)
• Matthew David Fautley

  IRN MDF00007

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 24 Apr 2020)
  • [FCA CF] Client dealing (since 24 Apr 2020)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• Matthew David Simons

  IRN MDS00022

  • [FCA CF] Manager of certification employee (since 24 May 2022)
  • [FCA CF] Functions requiring qualifications (24 May 2022 to 7 Jun 2023)
• Matthew Jones

  IRN MXJ00049

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 28 Feb 2020)
  • [FCA CF] Client dealing (since 28 Feb 2020)
  • CF30 Customer (5 Jun 2019 to 8 Dec 2019)
• Matthew Mccabe

  IRN MXM18753

  • [FCA CF] Functions requiring qualifications (10 Aug 2020 to 17 Nov 2022)
  • [FCA CF] Client dealing (10 Aug 2020 to 17 Nov 2022)
  • CF30 Customer (20 Aug 2019 to 8 Dec 2019)
• Matthew Mcnamara

  IRN MXM04442

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 18 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 18 Sep 2024)
• Matthew Peter Hengel Jones

  IRN MPJ01041

  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)
• Matthew Richard Frain

  IRN MRF01073

  • [FCA CF] Manager of certification employee (11 Jan 2021 to 7 Apr 2021)

No changes recorded yet.