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.

Neil James Smith
IRN NJS01240
- CF1 Director (AR) (since 17 Feb 2021)
Nicholas Simpson
IRN NXS01851
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- CF1 Director (8 Jan 2015 to 8 Dec 2019)
Nicholas Ward
IRN NXW00021
- CF1 Director (AR) (5 Oct 2020 to 18 Feb 2021)
Nigel James Oakes
IRN NXO00016
- CF1 Director (AR) (since 18 Dec 2020)
Nila Panchmatia
IRN NXP00051
- CF1 Director (AR) (since 13 Jan 2021)
Oliver Robert Long
IRN OXL00047
- CF1 Director (AR) (since 8 Dec 2022)
PAUL MCCLUSKEY
IRN PXM00365
- CF1 Director (AR) (28 May 2021 to 12 Dec 2022)
PAUL ROGERS
IRN PXR00046
- CF1 Director (AR) (since 3 Dec 2020)
PAUL SCOTT COX
IRN PXC00041
- CF1 Director (AR) (since 21 Oct 2020)
PETER WATSON
IRN PXW00114
- CF1 Director (AR) (5 Feb 2021 to 21 Aug 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.