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.

• Jaryd Mccormack

  IRN JXM03776

  • 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
  • SMF27 Partner (since 21 Jun 2022)
  • [FCA CF] Functions requiring qualifications (since 2 Feb 2021)
  • [FCA CF] Client dealing (since 2 Feb 2021)
  • CF4 Partner (20 Aug 2019 to 6 Dec 2019)
  • CF30 Customer (21 Jun 2016 to 8 Dec 2019)
• Michael Duane William Law

  IRN MXL00752

  • [FCA CF] Functions requiring qualifications (20 May 2025 to 20 Jan 2026)
  • [FCA CF] Client dealing (20 May 2025 to 20 Jan 2026)
• Neil Stuart Avery

  IRN NSA00002

  • 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 10 Feb 2023)
  • [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 (15 Sep 2017 to 8 Dec 2019)
• Nick Polhill

  IRN NXP00348

  • 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] Client dealing (since 27 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 27 Nov 2023)
• Sarah Elizabeth Evans

  IRN SXE00273

  • 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 27 Nov 2023)
  • [FCA CF] Client dealing (since 27 Nov 2023)
• Saul Gideon Conway

  IRN SGC01048

  • SMF27 Partner (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 11 Oct 2016)
  • CF3 Chief Executive (16 Jul 2019 to 8 Dec 2019)
  • CF4 Partner (11 Jun 2010 to 8 Dec 2019)
  • CF30 Customer (11 Jun 2010 to 8 Dec 2019)
  • Responsible for Insurance Mediation (11 Jun 2010 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (11 Jun 2010 to 8 Dec 2019)
  • CF10 Compliance Oversight (11 Jun 2010 to 8 Dec 2019)
• Sebastian George Hurst

  IRN SGH01108

  • CF30 Customer (21 Oct 2014 to 30 Jan 2015)
• Thomas William Bowen

  IRN TXB00224

  • 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 20 Apr 2021)
  • [FCA CF] Client dealing (since 20 Apr 2021)

No changes recorded yet.