ASFC LLP

• Principal Place of Business

  Elm House

  10-16 Elm Street

  London

  WC1X 0BJ

  UNITED KINGDOM

  Phone

  +4408706260250

  Web

  https://www.atlanticswissprivateclients.com

• Complaints Contact

  Elm House

  10-16 Elm Street

  London

  WC1X 0BJ

  UNITED KINGDOM

  Phone

  +4408706260250

• 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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  • · 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.
  • · 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 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, Structured Deposits, 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, Rights to or interests in investments (Contractually Based Investments), Share, Stakeholder pension scheme, Structured Deposits, 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

• 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, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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.

• Alexander Carlisle

  IRN AXC02473

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • SMF27 Partner (since 22 Jun 2022)
  • [FCA CF] Client dealing (since 16 Feb 2021)
  • [FCA CF] Functions requiring qualifications (since 16 Feb 2021)
  • CF4 Partner (16 Jul 2019 to 6 Dec 2019)
  • CF30 Customer (27 Apr 2012 to 8 Dec 2019)
• Amanda Barnett

  IRN AXB14976

  • SMF27 Partner (9 Dec 2019 to 1 Nov 2024)
  • CF4 Partner (16 Jul 2019 to 8 Dec 2019)
  • CF30 Customer (16 Jul 2019 to 16 Sep 2019)
• Christian James Wynne

  IRN CJW01236

  • CF30 Customer (5 Aug 2013 to 1 Oct 2014)
• Craig James Bell

  IRN CJB01371

  • 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
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 2 Feb 2021)
  • [FCA CF] Client dealing (since 2 Feb 2021)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF3 Chief Executive (16 Jul 2019 to 8 Dec 2019)
  • CF30 Customer (11 Jun 2010 to 8 Dec 2019)
  • CF4 Partner (11 Jun 2010 to 8 Dec 2019)
• Dominic Wilkes

  IRN DXW00212

  • [FCA CF] Functions requiring qualifications (2 Mar 2021 to 19 May 2021)
• Ffion Angharad Jones

  IRN FXJ01078

  • CF30 Customer (21 Mar 2014 to 1 Feb 2015)
• Frederick Oscar Alexander Kirchner

  IRN FOK01001

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • SMF27 Partner (since 22 Jun 2022)
  • [FCA CF] Client dealing (since 2 Feb 2021)
  • [FCA CF] Functions requiring qualifications (since 2 Feb 2021)
  • CF4 Partner (16 Jul 2019 to 6 Dec 2019)
  • CF30 Customer (31 Aug 2012 to 8 Dec 2019)
• James Anthony Dennett

  IRN JDD01057

  • CF30 Customer (21 Jun 2010 to 6 Jun 2012)
• James Carter

  IRN JXC00423

  • 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] Functions requiring qualifications (since 2 Mar 2021)
  • [FCA CF] Client dealing (since 2 Mar 2021)
• James Edward Lomax Gallimore

  IRN JEG00020

  • SMF9 Chair of the Governing Body (since 16 Apr 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (11 Jun 2010 to 8 Dec 2019)
  • CF30 Customer (11 Jun 2010 to 1 Jan 2013)

No changes recorded yet.