A.Y.S Financial Services

Date authorised
1 April 2013
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    27 Teversham Way
    Sawston
    Cambridge
    Cambridgeshire
    CB22 3DF
    UNITED KINGDOM
    Phone
    +441279871029

  • Complaints Contact

    43 Hawthorn Close
    Takeley
    Bishop's Stortford
    CM22 6SD
    UNITED KINGDOM
    Phone
    +441279871029

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

  • Investment Setup

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

Approved individuals

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

  • Robert Colin Newman

    IRN RCN00006

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF19 Significant Mgt (Financial Resources) (31 Oct 2004 to 31 Oct 2007)
    • CF15 Internal Audit (31 Oct 2004 to 31 Oct 2007)
    • CF14 Risk Assessment (31 Oct 2004 to 31 Oct 2007)
    • CF4 Partner (31 Oct 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (31 Oct 2004 to 31 Mar 2009)
    • CF13 Finance (31 Oct 2004 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (31 Oct 2004 to 8 Dec 2019)
    • CF17 Significant Mgt (Other Business Operations) (31 Oct 2004 to 31 Oct 2007)
  • Roger Henry Penny

    IRN RHP00011

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF4 Partner (18 Nov 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (18 Nov 2004 to 31 Mar 2009)

Recent activity

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

No changes recorded yet.