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

• Guy Timothy Lloyd Whittern

  IRN GXW00212

  • [FCA CF] Material risk taker (31 Jan 2022 to 30 Apr 2023)
  • [FCA CF] CASS oversight function (18 Jun 2021 to 30 Apr 2023)
• Helen Pickford

  IRN HAP01024

  • SMF3 Executive Director (9 Dec 2019 to 1 May 2020)
  • SMF2 Chief Finance (9 Dec 2019 to 1 May 2020)
  • CF1 Director (25 Jan 2016 to 8 Dec 2019)
• Helen Wroe

  IRN HMW01033

  • SMF5 Head of Internal Audit (9 Dec 2019 to 1 May 2020)
  • CF28 Systems and controls (10 Apr 2008 to 8 Dec 2019)
• Inga Kristine Beale

  IRN IKB01010

  • CF2 Non Executive Director (17 Nov 2009 to 23 Jun 2011)
• Jacobus Adrianus Johannes Cornelis van Gurp

  IRN JAV01042

  • SMF5 Head of Internal Audit (10 Mar 2022 to 31 Dec 2024)
• Jacqueline Lowe

  IRN JXK01103

  • Director of firm who is not a certification employee or a SMF manager (8 Feb 2023 to 30 Sep 2023)
• Jacqueline Margaret Leiper

  IRN JML01229

  • [FCA CF] Manager of certification employee (1 Sep 2024 to 25 Mar 2025)
  • [FCA CF] Material risk taker (1 Sep 2024 to 30 Apr 2025)
  • SMF3 Executive Director (17 Jan 2023 to 31 Aug 2024)
  • SMF1 Chief Executive (17 Jan 2023 to 31 Aug 2024)
  • SMF7 Group Entity Senior Manager (10 Mar 2022 to 23 Jan 2023)
• James Barrington Quin

  IRN JBQ01002

  • CF1 Director (16 Oct 2017 to 31 Aug 2018)
• James Reeve

  IRN JKR01005

  • CF1 Director (1 Dec 2001 to 1 Apr 2004)
• James Sykes

  IRN JRS01211

  • SMF1 Chief Executive (9 Dec 2019 to 19 Mar 2020)
  • SMF3 Executive Director (9 Dec 2019 to 19 Mar 2020)
  • Responsible for Insurance Distribution (1 Oct 2018 to 19 Mar 2020)
  • Responsible for Insurance Mediation (4 May 2017 to 30 Sep 2018)
  • CF3 Chief Executive (4 May 2017 to 8 Dec 2019)
  • CF10a CASS Oversight function (19 Mar 2013 to 6 Dec 2017)
  • CF1 Director (15 Nov 2012 to 8 Dec 2019)

No changes recorded yet.