South River Asset Management Limited

• Principal Place of Business

  55 Hersham Road

  Walton-On-Thames

  Surrey

  KT12 1LJ

  UNITED KINGDOM

  Phone

  +4402038463660

  Web

  https://www.southriveram.com

• Complaints Contact

  55 Hersham Road

  Walton-On-Thames

  Surrey

  KT12 1LJ

  UNITED KINGDOM

  Phone

  +4402038463660

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, 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 5 limitations Hide limitations

  • · 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 investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• 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 Eligible Counterparty, Professional, 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, 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 4 limitations Hide limitations

  • · 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 investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Stockbroking

  For Eligible Counterparty, Professional, 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, 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 4 limitations Hide limitations

  • · 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 stocklending activities and in carrying on such activities to the securities listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with these specified investments).
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Investment Setup

  For Eligible Counterparty, Professional, 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, 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 5 limitations Hide limitations

  • · 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 transaction-only activities.
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, 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, 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 2 limitations Hide limitations

  • · 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.

• Charles Henry Paulyn Gillow

  IRN CHG01008

  • CF2 Non Executive Director (28 May 2008 to 25 Sep 2008)
• Christopher William Alan Lee

  IRN CWL01016

  • [FCA CF] Client dealing (since 1 Mar 2024)
• Colin Charles Tipping

  IRN CCT01010

  • CF27 Investment Management (1 Jul 2005 to 20 Jul 2006)
• Darren Sadek

  IRN DSS01024

  • CF10 Compliance Oversight (27 May 2011 to 10 Oct 2013)
  • CF30 Customer (1 Nov 2007 to 18 Dec 2013)
  • CF29 Significant management (1 Nov 2007 to 26 Mar 2009)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 22 Feb 2010)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 19 Jan 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 31 Oct 2007)
• David Michael Sullivan

  IRN DMS01120

  • CF30 Customer (19 Sep 2012 to 7 Jan 2014)
• David Ramage

  IRN DXR01185

  • CF30 Customer (26 Sep 2012 to 12 Feb 2013)
• Donal Patrick Joseph Mullane

  IRN DPM01094

  • CF30 Customer (1 Nov 2007 to 30 Jun 2011)
  • CF1 Director (15 Oct 2003 to 19 Jan 2007)
  • CF27 Investment Management (10 Jan 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (10 Jan 2003 to 31 Oct 2007)
• Donald Aiken

  IRN DXA01187

  • CF2 Non Executive Director (26 Apr 2018 to 5 Feb 2019)
  • CF30 Customer (25 May 2017 to 26 Apr 2018)
• Emma Butler

  IRN EMB01054

  • CF30 Customer (8 Jan 2009 to 20 Jun 2012)
• Eswaraj Ranil Perera

  IRN ERP01009

  • CF2 Non Executive Director (12 May 2010 to 4 Apr 2013)

No changes recorded yet.