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

• David White

  IRN DJW01420

  • CF1 Director (13 Apr 2017 to 31 Jan 2019)
  • CF29 Significant management (12 Sep 2013 to 19 Apr 2017)
• David William Thompson

  IRN DWT01033

  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Apr 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 30 Apr 2020)
• Deborah Lee Llewelyn

  IRN DXL00284

  • Director of firm who is not a certification employee or a SMF manager (1 Sep 2024 to 18 Mar 2025)
• Deepak Gala

  IRN DXG00421

  • [FCA CF] Material risk taker (31 Jan 2022 to 31 Dec 2023)
• Demetra Agrotis

  IRN DXA00344

  • SMF5 Head of Internal Audit (since 7 Feb 2025)
• Dena Brumpton

  IRN DJB01676

  • Director of firm who is not a certification employee or a SMF manager (since 2 Feb 2026)
• Dieter Franz-Josef Wemmer

  IRN DFW01040

  • CF2 Non Executive Director (10 Dec 2010 to 16 Dec 2010)
• Donald MacKechnie

  IRN DXM01896

  • SMF24 Chief Operations (since 1 Sep 2024)
  • SMF9 Chair of the Governing Body (2 Nov 2023 to 31 Aug 2024)
  • Director of firm who is not a certification employee or a SMF manager (8 Feb 2023 to 2 Nov 2023)
• Dudley Mark Hewitt Skinner

  IRN DMS01106

  • SMF13 Chair of the Nominations Committee (18 Dec 2023 to 31 Aug 2024)
  • Director of firm who is not a certification employee or a SMF manager (8 Feb 2023 to 1 Oct 2023)
• Edward Bridge

  IRN EXB47854

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

No changes recorded yet.