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 Richards

  IRN MXR22357

  • [FCA CF] Manager of certification employee (since 8 Jun 2023)
  • [FCA CF] Client dealing (7 Apr 2020 to 8 Jun 2023)
  • [FCA CF] Functions requiring qualifications (7 Apr 2020 to 8 Jun 2023)
  • CF30 Customer (1 Nov 2019 to 8 Dec 2019)
• Matthew Robert Bell

  IRN MRB00045

  • [FCA CF] Functions requiring qualifications (28 Feb 2020 to 26 Feb 2021)
  • [FCA CF] Client dealing (28 Feb 2020 to 26 Feb 2021)
  • CF30 Customer (26 Jun 2019 to 8 Dec 2019)
• Max Clarke

  IRN MXC80487

  • [FCA CF] Material risk taker (9 Sep 2020 to 20 Apr 2023)
  • [FCA CF] Significant management (9 Sep 2020 to 20 Apr 2023)
• Maxwell Sidney Rust

  IRN MSR01140

  • [FCA CF] Client dealing (13 Oct 2022 to 20 Sep 2023)
  • [FCA CF] Functions requiring qualifications (13 Oct 2022 to 20 Sep 2023)
• Meghan Mcpartlane

  IRN MXM15883

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 17 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 17 Feb 2020)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Melissa Rose

  IRN MXR15960

  • [FCA CF] Client dealing (19 May 2020 to 31 Jan 2022)
  • [FCA CF] Functions requiring qualifications (19 May 2020 to 31 Jan 2022)
  • CF30 Customer (14 Jun 2019 to 8 Dec 2019)
• Mervyn Joseph Casserly Bell-Hartley

  IRN MXC00583

  • [FCA CF] Client dealing (31 Aug 2021 to 23 Jun 2025)
  • [FCA CF] Functions requiring qualifications (31 Aug 2021 to 23 Jun 2025)
• Michael Charles John Young

  IRN MCY01012

  • [FCA CF] Functions requiring qualifications (25 Nov 2020 to 5 Mar 2021)
  • [FCA CF] Client dealing (25 Nov 2020 to 5 Mar 2021)
• Michael Collins Hart

  IRN MCH01115

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 28 Oct 2022)
  • [FCA CF] Client dealing (since 28 Oct 2022)
• Michael Cox

  IRN MXC16009

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 21 May 2020)
  • [FCA CF] Functions requiring qualifications (since 21 May 2020)
  • CF30 Customer (14 Jun 2019 to 8 Dec 2019)

No changes recorded yet.