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

• Jonathan Mark Donald Sandell

  IRN JMS01499

  • SMF18 Other Overall Responsibility (5 Oct 2022 to 31 Aug 2024)
• Jonathan Plumtree

  IRN JXP01200

  • CF29 Significant management (29 Jun 2016 to 24 Mar 2017)
• Jonathan Scott Wheway

  IRN JSW01157

  • SMF9 Chair of the Governing Body (1 Sep 2024 to 31 Oct 2025)
• Jonathan Trevor Anderson

  IRN JTA01010

  • SMF11 Chair of the Audit Committee (4 Oct 2022 to 31 Aug 2024)
• Julien Kerr

  IRN JXK07042

  • SMF17 Money Laundering Reporting Officer (MLRO) (22 May 2020 to 23 Jul 2024)
• Kay Samantha Smith

  IRN KXS33472

  • SMF18 Other Overall Responsibility (19 May 2020 to 9 Sep 2022)
• Kevin Doran

  IRN KXD01102

  • [FCA CF] Material risk taker (2 Sep 2024 to 27 Mar 2026)
• Kirstine Ann Cooper

  IRN KAC01088

  • Director of firm who is not a certification employee or a SMF manager (since 1 Sep 2024)
• Komal Patel

  IRN KXP00163

  • [FCA CF] Manager of certification employee (11 Dec 2023 to 31 Dec 2023)
  • [FCA CF] Material risk taker (1 Jan 2022 to 31 Dec 2023)
  • [FCA CF] Significant management (31 Jan 2021 to 31 Dec 2023)
• Kwaku Osafo

  IRN KXO00074

  • SMF17 Money Laundering Reporting Officer (MLRO) (30 Jul 2024 to 10 Mar 2026)

No changes recorded yet.