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.

• Nigel Edward de Burgh Marsh

  IRN NED01010

  • CF30 Customer (7 Jul 2010 to 24 Feb 2012)
• Nigel Lindsey Davies

  IRN NLD01005

  • CF1 Director (14 Jan 2009 to 9 Jul 2012)
  • CF30 Customer (14 Jan 2009 to 15 Aug 2012)
• Nitin Bhikhu Parekh

  IRN NBP01016

  • CF3 Chief Executive (25 May 2011 to 7 May 2014)
  • CF30 Customer (25 May 2011 to 7 May 2014)
  • CF1 Director (25 May 2011 to 7 May 2014)
• Peter James Greensmith

  IRN PJG01116

  • CF1 Director (8 Aug 2016 to 8 Jan 2018)
• Philip John Dixon

  IRN PJD01117

  • CF11 Money Laundering Reporting (16 Feb 2015 to 11 Mar 2015)
  • CF1 Director (16 Feb 2015 to 11 Mar 2015)
  • CF10 Compliance Oversight (16 Feb 2015 to 11 Mar 2015)
• Ravi Shankar

  IRN RXS01251

  • CF30 Customer (1 Nov 2007 to 30 Jun 2011)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 17 May 2011)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 17 May 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Richard Charles Stevens

  IRN RCS01078

  • CF30 Customer (1 Jun 2017 to 8 Dec 2019)
• Richard Godfrey Battersby

  IRN RGB01113

  • CF1 Director (8 Sep 2017 to 22 Mar 2018)
  • CF2 Non Executive Director (25 Aug 2016 to 4 Jan 2017)
• Robert Bernard Devine

  IRN RBD01021

  • CF30 Customer (25 Feb 2010 to 16 Jan 2012)
• Robert Peter Mark Sellar

  IRN RPS01048

  • [FCA CF] Client dealing (since 1 Oct 2022)

No changes recorded yet.