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.

• Kent Charles Claxton

  IRN KCC01012

  • CF30 Customer (1 Nov 2007 to 4 Aug 2014)
  • CF21 Investment Adviser (30 Oct 2007 to 31 Oct 2007)
• Leslie John Brady

  IRN LJB01054

  • CF1 Director (5 Aug 2015 to 8 Jan 2018)
  • CF11 Money Laundering Reporting (6 Jul 2015 to 8 Jan 2018)
  • CF30 Customer (6 Jul 2015 to 8 Jan 2018)
  • CF10 Compliance Oversight (6 Jul 2015 to 8 Jan 2018)
• Mark Anthony Smith

  IRN MAS01221

  • CF1 Director (20 Apr 2010 to 17 May 2011)
• Mark John Baker

  IRN MJB01311

  • CF30 Customer (24 May 2011 to 21 Jan 2015)
  • CF1 Director (24 May 2011 to 21 Jul 2014)
• Martin John Williamson

  IRN MJW01318

  • CF13 Finance (1 Dec 2001 to 9 Feb 2006)
  • CF1 Director (1 Dec 2001 to 19 Jan 2007)
• Martyn Russell Clissold

  IRN MRC01081

  • CF27 Investment Management (1 Dec 2001 to 31 Aug 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Aug 2006)
• Matthew James Taylor

  IRN MXT01261

  • CF28 Systems and controls (12 Oct 2009 to 13 May 2011)
• Matthew Scales

  IRN MXS01309

  • CF1 Director (16 Jun 2004 to 19 Jan 2007)
• Michael Edward Ewing

  IRN MEE01018

  • CF30 Customer (1 Nov 2007 to 29 Feb 2008)
  • CF21 Investment Adviser (23 Jun 2003 to 31 Oct 2007)
  • CF27 Investment Management (23 Jun 2003 to 31 Oct 2007)
• Nicola Baldwin

  IRN NXW01163

  • CF11 Money Laundering Reporting (22 Mar 2010 to 13 May 2011)

No changes recorded yet.