ASSET INVESTMENT MANAGEMENT LTD.

• Principal Place of Business

  Insight Financial Associates Ltd

  Insight House 7a

  Alkmaar Way

  Norwich

  Norfolk

  NR6 6BF

  UNITED KINGDOM

  Phone

  +441603268080

  Web

  https://www.asset-im.co.uk

• Complaints Contact

  Insight Financial Associates Ltd

  Insight House 7a

  Alkmaar Way

  Norwich

  Norfolk

  NR6 6BF

  UNITED KINGDOM

  Phone

  +441603268080

• 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: 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 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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

  For Customer

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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, 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

• 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

• Equity Release Setup

  For Customer, Home reversion plans

• 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, 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.

• Antony Peter Howard

  IRN APH00035

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 9A. Advising on P2P agreements
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Dec 2022)
  • SMF16 Compliance Oversight (since 2 Dec 2022)
  • SMF3 Executive Director (since 8 Apr 2022)
  • [FCA CF] Functions requiring qualifications (since 7 Feb 2022)
  • [FCA CF] Client dealing (since 7 Feb 2022)
• David Stuart Taylor

  IRN DXT00224

  • [FCA CF] Manager of certification employee (since 13 Nov 2023)
  • [FCA CF] Manager of certification employee (21 Feb 2022 to 22 Mar 2022)
• Jason Richard Howard

  IRN JRH00062

  • 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)
  • 9A. Advising on P2P agreements
  • SMF3 Executive Director (since 8 Apr 2022)
  • [FCA CF] Functions requiring qualifications (since 7 Feb 2022)
  • [FCA CF] Client dealing (since 7 Feb 2022)
• Jenna Louise Mary Chandler

  IRN JXC00335

  • 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 3 Feb 2023)
  • [FCA CF] Client dealing (since 3 Feb 2023)
• Jennie Warne

  IRN JXW00654

  • [FCA CF] Manager of certification employee (since 13 Nov 2023)
  • [FCA CF] Manager of certification employee (21 Feb 2022 to 21 Mar 2022)
• Jon Glister

  IRN JXG19164

  • [FCA CF] Manager of certification employee (2 May 2023 to 26 Feb 2024)
• Kevin Derek Reynolds

  IRN KDR00004

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (15 Sep 2020 to 5 Dec 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 Dec 2022)
  • SMF3 Executive Director (9 Dec 2019 to 7 Mar 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 5 Dec 2022)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 5 Dec 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (18 Apr 2007 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (18 Apr 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (18 Apr 2007 to 31 Oct 2007)
  • CF1 Director (18 Apr 2007 to 8 Dec 2019)
• Matthew Watling

  IRN MXW00532

  • [FCA CF] Manager of certification employee (13 Nov 2023 to 12 Jan 2024)
• Paul Jerome Barnard

  IRN PJB00092

  • SMF3 Executive Director (9 Dec 2019 to 22 May 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 22 May 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (18 Apr 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (18 Apr 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (18 Apr 2007 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (18 Apr 2007 to 31 Mar 2009)
• Rebecca Louise Webb

  IRN RXG86354

  • [FCA CF] Manager of certification employee (since 21 Feb 2022)

No changes recorded yet.