Aua Insolvency Risk Services Limited

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

P2P Lending Advice

For Commercial
Investment Advice (no pensions)

For Commercial, Non-investment insurance contracts
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, Non-investment insurance contracts
Insurance Admin

For Commercial, Non-investment insurance contracts
Stockbroking

For Commercial, Non-investment insurance contracts
Investment Setup

For Commercial, Non-investment insurance contracts

Senior staff personally approved by the FCA to hold their roles here.

Elizabeth Carroll Graham
IRN ECG01024
- CF1 Director (15 Jun 2015 to 31 Jul 2019)
Euan John Williams
IRN EJW01066
- CF28 Systems and controls (1 Nov 2007 to 23 Apr 2010)
- CF13 Finance (18 Oct 2007 to 31 Oct 2007)
Francois Jean Marie Martinache
IRN FJM01066
- CF1 Director (18 Oct 2007 to 16 Dec 2009)
George Pritchard
IRN GXP01427
- Responsible for Insurance Mediation (27 Apr 2010 to 14 Feb 2014)
- CF1 Director (3 Mar 2010 to 6 May 2014)
Gerald Charles Farr
IRN GCF01014
- CF1 Director (8 Dec 2008 to 8 Dec 2008)
Grant Thompson
IRN GXT01607
- Responsible for Insurance Distribution (1 Oct 2018 to 9 Sep 2019)
- CF1 Director (6 Aug 2018 to 9 Sep 2019)
- Responsible for Insurance Mediation (6 Aug 2018 to 30 Sep 2018)
James Lewis
IRN JAL01230
- SMF3 Executive Director (9 Dec 2019 to 1 Oct 2020)
- CF1 Director (12 Sep 2018 to 8 Dec 2019)
Jean-Alexandre Martinache
IRN JXM02527
- CF1 Director (18 Oct 2007 to 16 Dec 2009)
John Anthony Beck
IRN JAB01436
- CF1 Director (18 Oct 2007 to 25 Jan 2010)
John Clifford Bailey
IRN JCB01300
- CF1 Director (8 Oct 2012 to 30 Jun 2018)

Updates to this firm's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.