Sterling ISA Managers Limited

• Principal Place of Business

  Lloyds Banking Group, 33 Old Broad Street

  London

  City Of London

  EC2N 1HZ

  UNITED KINGDOM

  Phone

  +4403300242345

  Web

  https://platform.scottishwidows.co.uk

• Complaints Contact

  PO Box 21465

  Edinburgh

  EH3 1HD

  UNITED KINGDOM

  Phone

  +4403300242345

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, 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), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

• Insurance Admin

  For Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments)

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  • · The firm to be limited to dealing as a principal in investments, arranging (bringing about deals) in investments and making arrangements in investments in the rights under the scheme(s) that it operates
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Runs Personal Pensions

  For Professional, Retail (Investment), Personal pension scheme

• Investment Setup

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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), Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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), Share, Stakeholder pension scheme, Unit, Warrant

• Adrian Mark Abbott

  IRN AXA33478

  • SMF4 Chief Risk (21 May 2020 to 10 Jul 2020)
  • SMF16 Compliance Oversight (21 May 2020 to 10 Jul 2020)
• Aileen Janette Mathieson

  IRN AJM01606

  • CF29 Significant management (4 May 2017 to 1 Dec 2018)
• Alasdair Christopher Gillies

  IRN ACG01031

  • SMF10 Chair of the Risk Committee (9 Dec 2019 to 24 Mar 2020)
  • SMF12 Chair of the Remuneration Committee (9 Dec 2019 to 24 Mar 2020)
  • SMF13 Chair of the Nominations Committee (9 Dec 2019 to 24 Mar 2020)
  • SMF9 Chair of the Governing Body (9 Dec 2019 to 24 Mar 2020)
  • CF2 Non Executive Director (9 Nov 2009 to 8 Dec 2019)
  • CF1 Director (11 Aug 2004 to 12 Jun 2008)
  • CF14 Risk Assessment (24 Oct 2003 to 6 Jan 2004)
• Alexander Park Leitch

  IRN APL01043

  • CF19 Significant Mgt (Financial Resources) (11 Dec 2003 to 20 Feb 2004)
  • CF15 Internal Audit (11 Dec 2003 to 20 Feb 2004)
• Alistair Michael Cuthbert

  IRN AXC00575

  • SMF24 Chief Operations (22 Sep 2021 to 28 Apr 2023)
• Amit Thawani

  IRN AXT00586

  • SMF24 Chief Operations (since 1 Sep 2024)
• Ana Louise Jordan

  IRN AXJ00360

  • [FCA CF] Significant management (1 Aug 2022 to 3 Apr 2024)
  • [FCA CF] Material risk taker (1 Aug 2022 to 3 Apr 2024)
• Andrew Gudgeon

  IRN AXG00237

  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Apr 2020)
• Andrew John Smart

  IRN AJS01230

  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Oct 2002)
• Andrew Roberts

  IRN AXR70559

  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Apr 2020)

No changes recorded yet.