A D Shah Financial Limited

Date authorised
1 April 2013
Companies House
06058838
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1st Floor
    The Pavilion
    Rosslyn Crescent
    Harrow
    Middlesex
    HA1 2SZ
    UNITED KINGDOM
    Phone
    +4402089074114

  • Complaints Contact

    1st Floor
    The Pavilion
    Rosslyn Crescent
    Harrow
    Middlesex
    HA1 2SZ
    UNITED KINGDOM
    Phone
    +4402089074114

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • Investment Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Credit Brokering

  • Debt Advice

    Show 2 limitations
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.
    • · Limited to debt counselling which is provided in connection with investment advice and buy-to-let mortgages

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Ashok Devchand Shah

    IRN ADS00007

    • SMF3 Executive Director (9 Dec 2019 to 4 Mar 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 4 Mar 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 4 Mar 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 4 Mar 2021)
    • CF30 Customer (1 Nov 2007 to 23 Jan 2013)
    • Responsible for Insurance Mediation (2 Apr 2007 to 30 Sep 2018)
    • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (2 Apr 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Apr 2007 to 8 Dec 2019)
    • CF1 Director (2 Apr 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (2 Apr 2007 to 31 Mar 2009)
  • Mital Ashok Shah

    IRN MAS01281

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Responsible for Insurance Distribution (since 7 Feb 2022)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF10 Compliance Oversight (16 Oct 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Oct 2013 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (2 Apr 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.