AML Associates Financial Services Ltd

• Principal Place of Business

  2 Inglewood Crescent

  East Kilbride

  Glasgow

  South Lanarkshire

  G75 8QD

  UNITED KINGDOM

  Phone

  +4407305916921

  Web

  http://www.amlassociates.co.uk

• Complaints Contact

  2 Inglewood Crescent

  East Kilbride

  Glasgow

  South Lanarkshire

  G75 8QD

  UNITED KINGDOM

  Phone

  +4407305916921

• Buy-to-Let Mortgage Advice

• P2P Lending Advice

  For Commercial, Professional, 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 pension policies with a Guaranteed Annuity Rate.
  • · 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, 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, 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, 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, Unit, Warrant

  Show 1 limitation Hide 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• 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

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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, Unit, Warrant

  Show 1 limitation Hide 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.

• Alisdair Heotor MacMillan MacLeod

  IRN AXM00162

  • [FCA CF] Functions requiring qualifications (27 Nov 2020 to 31 Dec 2021)
  • [FCA CF] Manager of certification employee (27 Nov 2020 to 31 Dec 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Dec 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 3 Dec 2021)
  • SMF3 Executive Director (9 Dec 2019 to 3 Dec 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 3 Dec 2021)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 3 Dec 2021)
  • CF1 Director (29 Jul 2013 to 8 Dec 2019)
  • CF30 Customer (29 Jul 2013 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (29 Jul 2013 to 8 Dec 2019)
  • CF10 Compliance Oversight (29 Jul 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (29 Jul 2013 to 30 Sep 2018)
• Lachlan McLachlan

  IRN LXM02074

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 21. Advising or arranging (bringing about) equity release transactions
  • SMF16 Compliance Oversight (since 26 Feb 2021)
  • Responsible for Insurance Distribution (since 26 Feb 2021)
  • Responsibility for MCD Intermediation (since 26 Feb 2021)
  • SMF3 Executive Director (since 26 Feb 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 26 Feb 2021)
  • [FCA CF] Functions requiring qualifications (since 27 Nov 2020)
• Norman Duncan MacArthur

  IRN NDM00017

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 27 Nov 2020)
  • CF30 Customer (29 Jul 2013 to 8 Dec 2019)

No changes recorded yet.