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.

• Salim Chaar

  IRN SXC01638

  • CF1 Director (7 Sep 2015 to 8 Jun 2016)
• Samuel Sumanas Batcharj

  IRN SSB01018

  • CF1 Director (20 Jan 2014 to 16 Jul 2014)
  • CF30 Customer (5 Sep 2012 to 16 Jul 2014)
• Stephen Dowds

  IRN SDD01015

  • CF3 Chief Executive (10 Jun 2014 to 15 Jul 2014)
  • CF30 Customer (24 May 2011 to 3 Jun 2016)
  • CF1 Director (24 May 2011 to 15 Jul 2014)
• Stephen Watson

  IRN SDW01037

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (11 Nov 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (11 Nov 2019 to 8 Dec 2019)
  • CF3 Chief Executive (6 Sep 2016 to 8 Dec 2019)
  • CF30 Customer (24 May 2011 to 8 Dec 2019)
  • CF1 Director (24 May 2011 to 8 Dec 2019)
• Steven Jankowski

  IRN SXJ01168

  • CF1 Director (10 Apr 2002 to 30 Nov 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 30 Nov 2002)
  • CF27 Investment Management (1 Dec 2001 to 30 Nov 2002)
• Timothy Harold Garnett Lyle

  IRN THL00012

  • [FCA CF] Significant management (28 Jan 2021 to 8 Sep 2025)
• Victoria-Jayne Oakley

  IRN VXO01016

  • CF30 Customer (3 Aug 2010 to 29 Aug 2012)
• Vijayaswari Thambyrajah

  IRN VXT01010

  • CF29 Significant management (1 Nov 2007 to 26 Mar 2009)
  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 31 Oct 2007)
• Wei Wu

  IRN WXW01177

  • CF2 Non Executive Director (11 Jan 2018 to 8 Dec 2019)
• William Standish O'Grady Haly

  IRN WSH01018

  • CF21 Investment Adviser (14 Jan 2003 to 16 Mar 2006)
  • CF27 Investment Management (14 Jan 2003 to 16 Mar 2006)

No changes recorded yet.