Atholl Scott Financial Services Limited

• Principal Place of Business

  Victoria House

  13 Victoria Street

  Aberdeen

  Aberdeenshire

  AB10 1XB

  UNITED KINGDOM

  Phone

  +4401224640227

  Web

  https://www.asfs-ltd.co.uk

• Complaints Contact

  Victoria House

  13 Victoria Street

  Aberdeen

  Aberdeenshire

  AB10 1XB

  UNITED KINGDOM

  Phone

  +4401224640227

• 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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  • · 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.

• 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, 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.

• 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.

• Adam Mark Scott

  IRN AMS00022

  • CF11 Money Laundering Reporting (1 Apr 2005 to 21 Dec 2017)
  • CF1 Director (1 Dec 2001 to 21 Dec 2017)
• Alkarim Sarfaraz Parpia

  IRN ASP01068

  • SMF3 Executive Director (since 13 Mar 2024)
• Angela Rutherford

  IRN AXR11693

  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 3 Dec 2024)
  • [FCA CF] Client dealing (since 5 Jun 2024)
  • [FCA CF] Functions requiring qualifications (since 5 Jun 2024)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF10 Compliance Oversight (15 Apr 2019 to 8 Dec 2019)
• David Atholl Scott

  IRN DAS00011

  • CF1 Director (1 Dec 2001 to 1 Jan 2009)
• Deborah Elizabeth Mitchell

  IRN DEM00008

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Apr 2005)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Dhawal Vasant Chandan

  IRN DXC01769

  • SMF3 Executive Director (since 13 Mar 2024)
• Elaine Finlay

  IRN EXF01217

  • [FCA CF] Client dealing (4 Jul 2022 to 4 Jun 2024)
  • [FCA CF] Functions requiring qualifications (4 Jul 2022 to 4 Jun 2024)
• Eric Charles Sim

  IRN ECS00006

  • 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] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Dec 2024)
  • CF11 Money Laundering Reporting (13 Apr 2018 to 8 Dec 2019)
  • CF1 Director (16 Aug 2011 to 8 Dec 2019)
  • CF30 Customer (11 May 2010 to 8 Dec 2019)
• Gillian Bain

  IRN GXM01506

  • CF21 Investment Adviser (24 Mar 2005 to 12 Aug 2005)
• Jacqueline McKenzie

  IRN JXM01690

  • [FCA CF] Client dealing (29 Oct 2024 to 30 Jun 2025)
  • [FCA CF] Functions requiring qualifications (29 Oct 2024 to 30 Jun 2025)

No changes recorded yet.