Scottish Widows Unit Trust Managers Limited

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Senior staff personally approved by the FCA to hold their roles here.

Robin Smith
IRN RDS01117
- [FCA CF] Material risk taker (29 Sep 2020 to 1 Jan 2021)
- [PRA CF] Significant risk taker or Material risk taker (29 Sep 2020 to 1 Jan 2021)
- [FCA CF] CASS oversight function (4 Feb 2020 to 1 Jan 2021)
Robin Turner
IRN RXT00024
- CF21 Investment Adviser (1 Apr 2003 to 30 Jun 2007)
- CF22 Investment Adviser (Trainee) (23 Apr 2002 to 1 Apr 2003)
Roderick Thomas Simpson
IRN RTS00005
- CF21 Investment Adviser (1 Dec 2001 to 30 Jun 2007)
Roger David Evlyn-Bufton
IRN RDE00005
- CF30 Customer (9 Aug 2010 to 29 Mar 2012)
- CF21 Investment Adviser (1 Dec 2001 to 8 May 2007)
Roger Owden O'Brien
IRN ROO00001
- CF30 Customer (1 Nov 2007 to 6 Oct 2009)
- CF21 Investment Adviser (1 Oct 2005 to 31 Oct 2007)
Roger Puffett
IRN RXP00048
- CF21 Investment Adviser (13 Jan 2004 to 31 Dec 2005)
- CF22 Investment Adviser (Trainee) (14 Apr 2003 to 13 Jan 2004)
Roger Taylor
IRN RXT00051
- CF21 Investment Adviser (1 Dec 2001 to 28 Mar 2002)
Ronald Frank Cameron Taylor
IRN RFT01015
- CF3 Chief Executive (11 Mar 2016 to 31 Dec 2017)
- CF1 Director (30 Jul 2014 to 31 Dec 2017)
Ronald James Whatford
IRN RJW01212
- CF1 Director (21 Oct 2003 to 31 Jul 2005)
- CF16 Significant Mgt (Desgntd Investment Business) (21 Oct 2003 to 31 Jul 2005)
- CF20 Significant Mgt (Settlements) (21 Oct 2003 to 31 Jul 2005)
Ronald Smith
IRN RXS00166
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 17 Jul 2002)

Smaller firms operating under this firm's FCA authorisation.

Scottish Widows Bank Plc (no longer appointed)
FRN 201601 · Appointed 4 Mar 2000 · Until 1 Dec 2001
Cheltenham & Gloucester Plc (no longer appointed)
FRN 106119 · Appointed 1 Aug 1995 · Until 1 Dec 2001
AIB GROUP (UK) P.L.C. (no longer appointed)
FRN 122088 · Appointed 1 Mar 1991 · Until 1 Dec 2001
TSB Bank Plc (no longer appointed)
FRN 171654 · Appointed 1 Mar 1991 · Until 1 Dec 2001

Updates to this firm's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.