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

• Ranila Ravi-Burslem

  IRN RXR00033

  • [FCA CF] Material risk taker (1 Sep 2024 to 30 Nov 2024)
  • SMF18 Other Overall Responsibility (23 Nov 2022 to 31 Aug 2024)
• Raymond Greenshields

  IRN RXG01115

  • CF8 Apportionment and Oversight (1 Dec 2001 to 14 Oct 2002)
  • CF3 Chief Executive (1 Dec 2001 to 14 Oct 2002)
• Richard Alexander Peden

  IRN RAP01247

  • SMF16 Compliance Oversight (9 Dec 2019 to 1 May 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 May 2020)
  • CF11 Money Laundering Reporting (24 Jul 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (21 Mar 2013 to 8 Dec 2019)
• Richard John McCambridge

  IRN RXM87019

  • SMF4 Chief Risk (6 Oct 2020 to 21 Oct 2022)
  • SMF16 Compliance Oversight (6 Oct 2020 to 8 Nov 2022)
• Richard Peter Fawley Pash

  IRN RXP70581

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

  IRN RKA01030

  • [FCA CF] Manager of certification employee (31 Jan 2021 to 5 Dec 2023)
• Rodney Malcolm Cook

  IRN RMC01067

  • CF1 Director (1 Dec 2001 to 14 Oct 2002)
• Ronan Cremin

  IRN RXC47860

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Apr 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 30 Apr 2020)
• Rose Marie St Louis

  IRN RMS00016

  • [FCA CF] Material risk taker (2 Sep 2024 to 3 Sep 2024)
• Scott Cameron Guild

  IRN SXG14518

  • SMF3 Executive Director (17 Jan 2023 to 31 Aug 2024)
  • SMF2 Chief Finance (11 Apr 2022 to 31 Aug 2024)

No changes recorded yet.