AFFINIA LIMITED

Date authorised
1 December 2001
Companies House
02796741
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The Octagon Suite E2
    2nd Floor Middleborough
    Colchester
    Essex
    CO1 1TG
    UNITED KINGDOM
    Phone
    +4401206867551
    Web
    https://www.affinia.co.uk

  • Complaints Contact

    The Octagon
    Suite E2
    Middleborough
    Colchester
    Essex
    CO1 1TG
    UNITED KINGDOM
    Phone
    +442082218282

What this firm is allowed to do

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

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Debenture, 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

    Show 7 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.
    • · Limited in respect of 1. Shares in private companies; or 2. Debentures in private companies
    • · Limited to advice given to corporate finance businesses to or about small private companies (as defined in section 247 Companies Act 1985) while giving professional advice to or about those companies.
    • · Limited to giving advice on investments which are part of a privatisation or rights issue and where no arrangements in relation to any dealing in those investments are made by the firm.
    • · Limited to giving advice on investments (except life policies) where any transaction in those investments is effected otherwise than as an execution only transaction by a permitted third party (which is an independent intermediary), which permitted third party has an agreement with the client concerned, the existence of which is acknowledged in writing between the firm and the permitted third party.
    • · Limited to commenting on advice given to a client by a Permited Third Party.
    • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.

  • Authorised to Operate

  • Arranges Investments

    For Eligible Counterparty, Professional, Retail (Investment), Debenture, 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

    Show 4 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.
    • · Limited in respect of 1. Shares in private companies; or 2. Debentures in private companies
    • · Limited to where the firm passes on a clients instructions as a disclosed agent for the client to a permitted third party where the firm has obtained advice for the client.
    • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.

  • Investment Setup

    For Eligible Counterparty, Professional, Retail (Investment), Debenture, Option (excluding a commodity option and an option on a commodity future), Share

    Show 4 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.
    • · Limited in respect of 1. Shares in private companies; or 2. Debentures in private companies
    • · Limited to where the firm passes on a clients instructions as a disclosed agent for the client to a permitted third party where the firm has obtained advice for the client.
    • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.

Approved individuals

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

  • Mark Middleton

    IRN MXM00552

    • SMF3 Executive Director (since 8 Jun 2022)
    • SMF16 Compliance Oversight (since 8 Jun 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Jun 2022)
    • [FCA CF] Client dealing (since 1 Mar 2021)
  • Michael Edward Lake

    IRN MEL01031

    • CF30 Customer (1 Nov 2007 to 25 Aug 2017)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 25 Aug 2017)
    • CF10 Compliance Oversight (1 Dec 2001 to 25 Aug 2017)
    • CF1 Director (1 Dec 2001 to 25 Aug 2017)
  • Paul Mustoe

    IRN PXM02299

    • SMF3 Executive Director (since 11 Mar 2022)
  • Richard Charles Alexander Francis

    IRN RCF00005

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Aug 2021)
    • SMF3 Executive Director (9 Dec 2019 to 1 Aug 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Aug 2021)
    • CF10 Compliance Oversight (11 Sep 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Sep 2017 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • Stuart Sheldrick

    IRN SXS00588

    • SMF3 Executive Director (since 23 Mar 2022)
    • [FCA CF] Client dealing (since 1 Mar 2021)
  • Trevor Michael Lake

    IRN TML00003

    • SMF3 Executive Director (9 Dec 2019 to 1 Aug 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.