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.

• Gavin Robert Stewart Laidlaw

  IRN GRL01034

  • CF30 Customer (2 Oct 2015 to 18 Oct 2016)
• Geeta Sharma Tawakley

  IRN GXS01418

  • CF30 Customer (1 Nov 2007 to 30 May 2008)
  • CF27 Investment Management (15 Jan 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (15 Jan 2003 to 31 Oct 2007)
• Gerbrand Christon Haanschoten

  IRN GCH01036

  • CF27 Investment Management (1 Dec 2001 to 6 Feb 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 6 Feb 2003)
• Giles Alok Grover

  IRN GAG01077

  • CF30 Customer (15 Dec 2014 to 2 Apr 2015)
• Giles Robert Brand

  IRN GRB01070

  • CF27 Investment Management (1 Dec 2001 to 10 Dec 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 10 Dec 2004)
• Haydon Philip Thomas

  IRN HPT01016

  • CF10 Compliance Oversight (8 Feb 2018 to 11 Nov 2019)
  • CF11 Money Laundering Reporting (8 Feb 2018 to 11 Nov 2019)
• Hiren Patel

  IRN HXP01141

  • CF13 Finance (9 Feb 2006 to 15 Jun 2007)
• Ian Robert Williams

  IRN IRW01033

  • CF30 Customer (24 Oct 2019 to 8 Dec 2019)
• JOHN BOYD MCCOWAN Peat

  IRN JBP01020

  • CF30 Customer (12 Mar 2015 to 2 Apr 2015)
• James Francis Igoe

  IRN JFI01009

  • CF30 Customer (30 Dec 2014 to 2 Apr 2015)

No changes recorded yet.