Abacus Advice Ltd

• Principal Place of Business

  Pluto House 6 Vale Avenue

  Tunbridge Wells

  Kent

  TN1 1DJ

  UNITED KINGDOM

  Phone

  +441892320449

  Web

  https://www.aaltd.co.uk

• Complaints Contact

  Pluto House 6 Vale Avenue

  Tunbridge Wells

  Kent

  TN1 1DJ

  UNITED KINGDOM

  Phone

  +441892320449

• P2P Lending Advice

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

• Pension Transfer Advice

  For Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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.

• Investment Advice (no pensions)

  For Commercial, 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, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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 Commercial, 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, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity
  • · Limited to debt counselling which is provided in connection with investment advice, buy-to-let mortgages and second charge mortgages

• Consumer Loans

• Loan Servicing

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  • · Limited to lending where no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement
  • · Limited to lending that is in connection with the repayment of fees which are only for ongoing services or regular premiums

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, 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, 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.

• Credit Score Services

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  • · Limited to not carrying out credit repair services

• Adrian David Powell

  IRN ADP00019

  • CF21 Investment Adviser (1 Nov 2004 to 10 Nov 2006)
• Cheryl Lilian Price

  IRN CLP01064

  • CF10 Compliance Oversight (26 May 2009 to 13 Nov 2009)
  • CF30 Customer (27 Mar 2009 to 13 Nov 2009)
• David Michael Browning

  IRN DMB00046

  • CF21 Investment Adviser (1 Nov 2004 to 21 Oct 2005)
• Jason Richard Hyland

  IRN JRH01217

  • CF30 Customer (1 Nov 2007 to 7 Jul 2008)
  • CF22 Investment Adviser (Trainee) (5 Jun 2007 to 31 Oct 2007)
• Mark Andrew Raybould

  IRN MAR00007

  • CF30 Customer (1 Nov 2007 to 13 Dec 2009)
  • CF21 Investment Adviser (1 Nov 2004 to 31 Oct 2007)
• Michael Hardy

  IRN MXH01645

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 25 Apr 2021)
  • [FCA CF] Functions requiring qualifications (since 25 Apr 2021)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 29 Sep 2016)
  • CF30 Customer (7 Jan 2008 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF3 Chief Executive (1 Nov 2004 to 8 Dec 2019)
  • CF1 Director (1 Nov 2004 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Nov 2004 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Nov 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Nov 2004 to 28 Dec 2006)
  • CF8 Apportionment and Oversight (1 Nov 2004 to 31 Mar 2009)
• Nicholas Charles Heath

  IRN NCH01063

  • CF22 Investment Adviser (Trainee) (9 Jan 2007 to 29 May 2007)
• Robert Duncan Cooke

  IRN RDC00024

  • CF21 Investment Adviser (24 Jan 2005 to 13 Apr 2006)

No changes recorded yet.