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

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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.

• 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

• Nigel Christopher Emson

  IRN NCE01028

  • Responsible for Insurance Distribution (19 Mar 2020 to 1 May 2020)
  • SMF1 Chief Executive (19 Mar 2020 to 1 May 2020)
• Oscar Tengtio

  IRN OXT01042

  • CF1 Director (1 May 2009 to 17 Jul 2012)
• Patrick Henry O'Sullivan

  IRN PHO01015

  • CF28 Systems and controls (1 Nov 2007 to 3 Apr 2009)
  • CF15 Internal Audit (24 Oct 2003 to 31 Oct 2007)
• Paul David Sheehan

  IRN PXS00597

  • SMF24 Chief Operations (27 Apr 2023 to 31 Aug 2024)
• Paul Gerard McNamara

  IRN PXM01872

  • Director of firm who is not a certification employee or a SMF manager (since 2 Sep 2024)
• Paul McMahon

  IRN PXM01312

  • SMF10 Chair of the Risk Committee (14 Oct 2022 to 31 Aug 2024)
• Peter Michael Firth

  IRN PXF00082

  • [FCA CF] Significant management (9 Dec 2019 to 30 Apr 2020)
• Phillip John Smith

  IRN PRS01198

  • SMF1 Chief Executive (20 May 2020 to 28 May 2021)
  • SMF3 Executive Director (20 May 2020 to 27 Aug 2021)
• Phillip Robert John Bungey

  IRN PRB01186

  • SMF1 Chief Executive (21 Sep 2021 to 23 Jan 2023)
  • SMF3 Executive Director (14 May 2020 to 31 May 2023)
  • SMF24 Chief Operations (14 May 2020 to 2 Jun 2021)
• Priscilla Davies

  IRN PAD01167

  • SMF13 Chair of the Nominations Committee (24 Mar 2020 to 2 May 2023)
  • SMF12 Chair of the Remuneration Committee (24 Mar 2020 to 30 Jun 2023)
  • SMF10 Chair of the Risk Committee (24 Mar 2020 to 15 Oct 2022)
  • SMF9 Chair of the Governing Body (24 Mar 2020 to 18 Jan 2023)
  • CF2 Non Executive Director (17 Sep 2019 to 8 Dec 2019)

No changes recorded yet.