AFS Compliance Ltd

Watch for changes

Addresses

The contact details this firm has registered with the FCA.

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

Buy-to-Let Mortgage Advice
Buy-to-Let Mortgage Arranging
Mortgage Advice

For Customer, Regulated mortgage contract
Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
Mortgage Arranging

For Customer, Regulated mortgage contract
Buy-to-Let Start Date
Buy-to-Let Status
Credit Brokering
Debt Negotiation
Show 1 limitation Hide limitations
- · This permission is limited to debt adjusting with no debt management activity
Debt Advice
Show 1 limitation Hide limitations
- · This permission is limited to debt counselling with no debt management activity
Mortgage Setup

For Customer, Regulated mortgage contract

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

KEITH DOUGLAS PEARSON
IRN KXP00092
- CF1 Director (AR) (since 26 Jan 2021)
KEVAN ADAM REID
IRN KXR00041
- CF1 Director (AR) (since 3 Dec 2020)
KEVIN PETER WALKER
IRN KXW00100
- CF1 Director (AR) (since 29 Jan 2021)
KEVIN WAYNE JOHNSON
IRN KXJ00012
- CF1 Director (AR) (since 26 Oct 2020)
KIRAN KUMAR PATEL
IRN KXP00182
- CF1 Director (AR) (since 28 May 2021)
Karen Ball
IRN KXB01829
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- Appointed representative dealing with clients for which they require qualification (since 8 Jun 2021)
- [FCA CF] Functions requiring qualifications (since 8 Jun 2021)
Karl Kirkpatrick
IRN KXK00081
- CF1 Director (AR) (since 16 Mar 2022)
Katherine Louise Foster
IRN KXF00031
- CF1 Director (AR) (since 3 Dec 2020)
Kathryn Dimmack
IRN KXD00009
- CF1 Director (AR) (since 2 Oct 2020)
Kevin Gaughan
IRN KXG00301
- CF1 Director (AR) (since 28 Nov 2023)

Smaller firms operating under this firm's FCA authorisation.

Cath Hodkinson (no longer appointed)
FRN 672894 · Appointed 20 Feb 2015 · Until 1 Sep 2022
Brian Turner (no longer appointed)
FRN 672771 · Appointed 20 Feb 2015 · Until 9 Apr 2021
Richard Willis (no longer appointed)
FRN 672886 · Appointed 20 Feb 2015 · Until 7 Oct 2015
Miles Uttley (no longer appointed)
FRN 672859 · Appointed 20 Feb 2015 · Until 15 Apr 2015
Graham Dews (no longer appointed)
FRN 672834 · Appointed 20 Feb 2015 · Until 11 Jul 2018
Karen King (no longer appointed)
FRN 672841 · Appointed 20 Feb 2015 · Until 9 Mar 2016
Gary Horner (no longer appointed)
FRN 672832 · Appointed 20 Feb 2015 · Until 21 Jan 2025
Iain Griffin (no longer appointed)
FRN 672838 · Appointed 20 Feb 2015 · Until 4 Dec 2015
Oliver Smith (no longer appointed)
FRN 672871 · Appointed 20 Feb 2015 · Until 26 Feb 2015
Kevin Morgan (no longer appointed)
FRN 672896 · Appointed 20 Feb 2015 · Until 9 Apr 2021

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.