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

  Show 1 limitation Hide limitations

  • · 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

• Shaun Tony Hicks

  IRN STH01033

  • SMF4 Chief Risk (9 Dec 2019 to 1 May 2020)
  • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
  • CF14 Risk Assessment (13 Jul 2006 to 31 Oct 2007)
• Shingirai Thaddeus Nyahasha

  IRN STN01013

  • SMF2 Chief Finance (since 1 Sep 2024)
  • SMF3 Executive Director (since 1 Sep 2024)
• Simon Andrew Godsave

  IRN SAG01095

  • CF10a CASS Oversight function (27 Nov 2012 to 15 Mar 2013)
  • CF10 Compliance Oversight (14 Jun 2006 to 18 Apr 2013)
• Simon Cunliffe Rogerson

  IRN SCR01055

  • CF10 Compliance Oversight (11 May 2005 to 1 Jun 2006)
  • CF14 Risk Assessment (18 Dec 2003 to 3 Jul 2006)
• Simon William Foster

  IRN SWF01026

  • CF1 Director (22 Apr 2008 to 14 Apr 2016)
• Siv Anita Fernqvist

  IRN SXF47849

  • [FCA CF] Significant management (9 Dec 2019 to 30 Apr 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Apr 2020)
• Sophie Jane O'Connor

  IRN SJO01101

  • SMF13 Chair of the Nominations Committee (28 Apr 2023 to 30 Sep 2023)
  • SMF9 Chair of the Governing Body (17 Jan 2023 to 30 Sep 2023)
• Stephen Edward Matthews

  IRN SEM01162

  • SMF18 Other Overall Responsibility (9 Dec 2019 to 1 May 2020)
  • CF10a CASS Oversight function (1 Dec 2017 to 8 Dec 2019)
• Stephen Elliot

  IRN SXE01114

  • CF11 Money Laundering Reporting (25 Jan 2002 to 24 Sep 2003)
• Stephen John Mountford

  IRN SXM00633

  • [FCA CF] Material risk taker (31 Jan 2021 to 31 Dec 2023)
  • [FCA CF] Significant management (31 Jan 2021 to 1 Aug 2024)

No changes recorded yet.