Date authorised
12 June 2016
Companies House
09766150
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    8 Surrey Street
    Norwich
    Norfolk
    NR1 ENG
    UNITED KINGDOM
    Phone
    +4401603622200
  • Complaints Contact

    8 Surrey Street
    Norwich
    Norfolk
    NR1 3NS
    UNITED KINGDOM
    Phone
    +4408000685670

What this firm is allowed to do

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

  • Investment Advice (no pensions)

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Credit Brokering

  • Stockbroking

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • 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
    • · 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.

Approved individuals

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

  • Adam Beckett

    IRN AXB04120

    • [FCA CF] Significant management (3 Feb 2020 to 25 May 2020)
  • Adam Charles Winslow

    IRN ACW01149

    • SMF7 Group Entity Senior Manager (23 Sep 2021 to 30 Aug 2023)
    • [FCA CF] Significant management (8 Jul 2021 to 22 Sep 2021)
    • [FCA CF] Manager of certification employee (8 Jul 2021 to 22 Sep 2021)
  • Ajit Singh Roger Dhaliwal

    IRN AXD00931

    • [FCA CF] Significant management (since 1 Jul 2024)
    • [FCA CF] Manager of certification employee (1 Jul 2024 to 2 Feb 2026)
  • Alan John Crawford

    IRN AJC01638

    • SMF5 Head of Internal Audit (since 9 Dec 2019)
    • CF28 Systems and controls (13 Aug 2019 to 8 Dec 2019)
  • Alison Gammon

    IRN AXG00053

    • [FCA CF] Manager of certification employee (24 May 2023 to 30 Sep 2023)
  • Alison Jane Rayner

    IRN AJR01425

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 26 Aug 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 27 Apr 2021)
    • SMF4 Chief Risk (9 Dec 2019 to 26 Aug 2022)
    • CF28 Systems and controls (30 Jan 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (30 Jan 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Jan 2017 to 8 Dec 2019)
  • Andrew David Briggs

    IRN ADB01086

    • CF1 Director (12 Jun 2016 to 24 Apr 2019)
  • Andrew James Howarth McPhee

    IRN AXM05313

    • [FCA CF] Significant management (1 Jul 2024 to 29 Apr 2026)
  • Andrew Maitland Dinwiddie

    IRN AXD00655

    • [FCA CF] Significant management (1 Sep 2022 to 31 Mar 2024)
  • Andrew Peter David Brem

    IRN APB01187

    • CF1 Director (12 Jun 2016 to 2 Feb 2018)

Recent activity

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

No changes recorded yet.