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.

• Michael Derek Edwards

  IRN MXE01389

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 22 May 2020)
  • [FCA CF] Functions requiring qualifications (since 22 May 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Michael Edie

  IRN MXE00087

  • [FCA CF] Client dealing (18 Nov 2020 to 7 Apr 2021)
• Michael James Cole

  IRN MJC01467

  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 19 Dec 2023)
  • [FCA CF] Client dealing (since 17 Mar 2022)
  • [FCA CF] Manager of certification employee (since 1 Mar 2021)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Michael John Griggs

  IRN MJG00009

  • [FCA CF] Manager of certification employee (10 Aug 2020 to 7 Apr 2021)
• Michael Joseph Burke

  IRN MJB01688

  • [FCA CF] Client dealing (27 Oct 2022 to 5 Apr 2023)
  • [FCA CF] Functions requiring qualifications (27 Oct 2022 to 5 Apr 2023)
• Michael Robert Dukes

  IRN MRD01068

  • CF30 Customer (13 Jun 2019 to 12 Jul 2019)
• Michelle Leigh Brough

  IRN MXB00765

  • [FCA CF] Functions requiring qualifications (17 Nov 2021 to 20 Jun 2024)
  • [FCA CF] Client dealing (17 Nov 2021 to 20 Jun 2024)
• Mike Hewitt

  IRN MXH00380

  • [FCA CF] Material risk taker (10 Jan 2022 to 10 Jan 2023)
  • [FCA CF] Significant management (10 Jan 2022 to 10 Jan 2023)
• Milan Shah

  IRN MXS00136

  • 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 3 Mar 2020)
  • [FCA CF] Client dealing (since 3 Mar 2020)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Minke Johanna Niemeijer

  IRN MJN01082

  • 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 27 May 2020)
  • [FCA CF] Client dealing (since 27 May 2020)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)

No changes recorded yet.