Sovereign Asset Management Limited

Name	Sovereign Asset Management Limited
Address	Sovereign Place 117 Main Street Gibraltar GX11 1AA
Telephone	20041054
Fax	20041036
Email
Website	http://www.sovereigngroup.com
Legal Form	Private Company Limited By Shares
Country of Incorporation	Gibraltar
Incorporation Number	74253
Incorporation Date	31/03/2000

Other names

Trading Name - Sovereign Wealth

Permissions

Financial Services Act 2019

Permitted Businesses

Regulated activity
- Taking up or pursuing insurance distribution - LIFE (Insurance Distribution)
- Reception and transmission of orders in relation to one or more of the Instruments listed in section C. (MiFID)
  Reception and transmission of orders in relation to one or more of the Instruments listed in section C. (MiFID)
  
  C1 Transferable securities.
  
  C2 Money-market instruments.
  
  C3 Units in collective investment undertakings.
  
  C4 Options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, emission allowances or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash.
  
  C5 Options, futures, swaps, forwards and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event.
  
  C6 Options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market, an MTF, or an OTF, except for wholesale energy products traded on an OTF that must be physically settled.
  
  C7 Options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in C.6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments
  
  C10 Options, futures, swaps, forward rate agreements and any other derivative contracts relating to climatic variables, freight rates, or inflation rates or other official economic statistics that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event, as well as any other derivative contracts relating to assets, rights, obligations, indices and measures not otherwise mentioned in this Section, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are traded on a regulated market, OTF, or an MTF.
- Execution of orders on behalf of clients. (MiFID)
  Execution of orders on behalf of clients. (MiFID)
  
  C1 Transferable securities.
  
  C2 Money-market instruments.
  
  C3 Units in collective investment undertakings.
  
  C4 Options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, emission allowances or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash.
  
  C5 Options, futures, swaps, forwards and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event.
  
  C6 Options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market, an MTF, or an OTF, except for wholesale energy products traded on an OTF that must be physically settled.
  
  C7 Options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in C.6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments
  
  C10 Options, futures, swaps, forward rate agreements and any other derivative contracts relating to climatic variables, freight rates, or inflation rates or other official economic statistics that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event, as well as any other derivative contracts relating to assets, rights, obligations, indices and measures not otherwise mentioned in this Section, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are traded on a regulated market, OTF, or an MTF.
- Portfolio Management. (MiFID)
  Portfolio Management. (MiFID)
  
  C1 Transferable securities.
  
  C2 Money-market instruments.
  
  C3 Units in collective investment undertakings.
  
  C4 Options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, emission allowances or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash.
  
  C5 Options, futures, swaps, forwards and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event.
  
  C6 Options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market, an MTF, or an OTF, except for wholesale energy products traded on an OTF that must be physically settled.
  
  C7 Options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in C.6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments
  
  C10 Options, futures, swaps, forward rate agreements and any other derivative contracts relating to climatic variables, freight rates, or inflation rates or other official economic statistics that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event, as well as any other derivative contracts relating to assets, rights, obligations, indices and measures not otherwise mentioned in this Section, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are traded on a regulated market, OTF, or an MTF.
- Investment advice. (MiFID)
  Investment advice. (MiFID)
  
  C1 Transferable securities.
  
  C2 Money-market instruments.
  
  C3 Units in collective investment undertakings.
  
  C4 Options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, emission allowances or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash.
  
  C5 Options, futures, swaps, forwards and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event.
  
  C6 Options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market, an MTF, or an OTF, except for wholesale energy products traded on an OTF that must be physically settled.
  
  C7 Options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in C.6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments
  
  C10 Options, futures, swaps, forward rate agreements and any other derivative contracts relating to climatic variables, freight rates, or inflation rates or other official economic statistics that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event, as well as any other derivative contracts relating to assets, rights, obligations, indices and measures not otherwise mentioned in this Section, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are traded on a regulated market, OTF, or an MTF.
- Advising on personal or occupational pension schemes
Authorisations (MiFID)
- 3 Category 3
  Other Information
(Unspecified)
- II(b) Collective Investment Scheme Intermediary.

ID Directive

Providing Services in EEA States

The firm is authorised to carry out services in the following countries:

United Kingdom

Insurance Intermediaries
- VI(b) Life Assurance Intermediary.

MiFI II Directive

Providing Services in EEA States

The firm is authorised to carry out services in the following countries:

United Kingdom

Core Services
- 1 Reception and transmission of orders in relation to one or more of the Instruments listed in section C.
  1 Reception and transmission of orders in relation to one or more of the Instruments listed in section C.
  
  C1 Transferable securities.
  
  C2 Money-market instruments.
  
  C3 Units in collective investment undertakings.
  
  C4 Options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, emission allowances or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash.
  
  C5 Options, futures, swaps, forwards and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event.
  
  C6 Options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market, an MTF, or an OTF, except for wholesale energy products traded on an OTF that must be physically settled.
  
  C7 Options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in C.6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments
  
  C10 Options, futures, swaps, forward rate agreements and any other derivative contracts relating to climatic variables, freight rates, or inflation rates or other official economic statistics that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event, as well as any other derivative contracts relating to assets, rights, obligations, indices and measures not otherwise mentioned in this Section, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are traded on a regulated market, OTF, or an MTF.
- 2 Execution of orders on behalf of clients.
  2 Execution of orders on behalf of clients.
  
  C1 Transferable securities.
  
  C2 Money-market instruments.
  
  C3 Units in collective investment undertakings.
  
  C4 Options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, emission allowances or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash.
  
  C5 Options, futures, swaps, forwards and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event.
  
  C6 Options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market, an MTF, or an OTF, except for wholesale energy products traded on an OTF that must be physically settled.
  
  C7 Options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in C.6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments
  
  C10 Options, futures, swaps, forward rate agreements and any other derivative contracts relating to climatic variables, freight rates, or inflation rates or other official economic statistics that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event, as well as any other derivative contracts relating to assets, rights, obligations, indices and measures not otherwise mentioned in this Section, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are traded on a regulated market, OTF, or an MTF.
- 4 Portfolio Management.
  4 Portfolio Management.
  
  C1 Transferable securities.
  
  C2 Money-market instruments.
  
  C3 Units in collective investment undertakings.
  
  C4 Options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, emission allowances or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash.
  
  C5 Options, futures, swaps, forwards and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event.
  
  C6 Options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market, an MTF, or an OTF, except for wholesale energy products traded on an OTF that must be physically settled.
  
  C7 Options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in C.6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments
  
  C10 Options, futures, swaps, forward rate agreements and any other derivative contracts relating to climatic variables, freight rates, or inflation rates or other official economic statistics that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event, as well as any other derivative contracts relating to assets, rights, obligations, indices and measures not otherwise mentioned in this Section, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are traded on a regulated market, OTF, or an MTF.
- 5 Investment advice.
  5 Investment advice.
  
  C1 Transferable securities.
  
  C2 Money-market instruments.
  
  C3 Units in collective investment undertakings.
  
  C4 Options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, emission allowances or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash.
  
  C5 Options, futures, swaps, forwards and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event.
  
  C6 Options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market, an MTF, or an OTF, except for wholesale energy products traded on an OTF that must be physically settled.
  
  C7 Options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in C.6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments
  
  C10 Options, futures, swaps, forward rate agreements and any other derivative contracts relating to climatic variables, freight rates, or inflation rates or other official economic statistics that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event, as well as any other derivative contracts relating to assets, rights, obligations, indices and measures not otherwise mentioned in this Section, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are traded on a regulated market, OTF, or an MTF.

* Firms with an asterisk by their name may have for example a restricted or suspended licence. Please click on "Show All" under Permissions to establish the current state of the entity.

Regulated Entities Register

Auditors Register

Sovereign Asset Management Limited

Other names

Permissions

Financial Services Act 2019

Permitted Businesses

Regulated activity

Authorisations (MiFID)

Other Information

(Unspecified)

ID Directive

Providing Services in EEA States

United Kingdom

Insurance Intermediaries

MiFI II Directive

Providing Services in EEA States

United Kingdom

Core Services

Regulated Entities Register

Auditors Register

Sovereign Asset Management Limited

Other names

Permissions

Regulated activity

Reception and transmission of orders in relation to one or more of the Instruments listed in section C. (MiFID)

Execution of orders on behalf of clients. (MiFID)

Portfolio Management. (MiFID)

Investment advice. (MiFID)

Authorisations (MiFID)

(Unspecified)

Insurance Intermediaries

Core Services

1 Reception and transmission of orders in relation to one or more of the Instruments listed in section C.

2 Execution of orders on behalf of clients.

4 Portfolio Management.

5 Investment advice.