ASH-RIDGE ASSET MANAGEMENT LIMITED

• Principal Place of Business

  Mitre House

  44-46 Fleet Street

  London

  EC4Y 1BN

  UNITED KINGDOM

  Phone

  +4402073538001

  Web

  https://www.ash-ridge.com

• Complaints Contact

  Mitre House

  44-46 Fleet Street

  London

  EC4Y 1BN

  UNITED KINGDOM

  Phone

  +4402073538001

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, 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.

• 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

• 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.

• Adrian Broughton

  IRN AXB00218

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (9 Feb 2007 to 31 Oct 2007)
• Anthony Guy Kynaston

  IRN AGK00005

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Oct 2020)
  • [FCA CF] Manager of certification employee (since 1 Oct 2020)
  • [FCA CF] Significant management (since 1 Oct 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 29 Sep 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (17 Aug 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (17 Aug 2004 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (17 Aug 2004 to 8 Dec 2019)
  • CF1 Director (17 Aug 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (17 Aug 2004 to 31 Oct 2007)
• James Bruce Insole

  IRN JBI01008

  • 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
  • [FCA CF] Functions requiring qualifications (since 1 Oct 2020)
  • CF30 Customer (1 Jan 2013 to 8 Dec 2019)
• Jane Lesley King

  IRN JLK01042

  • 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 1 Oct 2020)
  • CF30 Customer (5 Feb 2009 to 8 Dec 2019)
  • CF21 Investment Adviser (24 Nov 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (25 Apr 2005 to 24 Nov 2006)

No changes recorded yet.