Aztec Financial Services (UK) Limited

• Principal Place of Business

  Aztec Financial Services UK Ltd

  Forum 4 Solent Business Park

  Parkway South

  Whiteley

  Fareham

  Hampshire

  PO15 7AD

  UNITED KINGDOM

  Phone

  +442382022300

  Web

  https://aztec.group

• Complaints Contact

  Aztec Financial Services UK Ltd

  Forum 4 Solent Business Park

  Parkway South

  Whiteley

  Fareham

  Hampshire

  PO15 7AD

  UNITED KINGDOM

  Phone

  +442382022300

• Private Fund Guardian

  Show 3 limitations Hide limitations

  • · The firm can perform only the depositary functions specified.
  • · The firm may act as trustee or depositary of AIFs of the kind defined in FUND 3.11.12R.
  • · The firm may act as trustee or depositary of non-EEA AIFs.

• 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 Eligible Counterparty, Professional, Commodity option and option on commodity future, Debenture, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit

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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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Commodity option and option on commodity future, Debenture, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit

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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.

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, Commodity option and option on commodity future, Debenture, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit

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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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Commodity option and option on commodity future, Debenture, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit

  Show 1 limitation Hide limitations

  • · 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.

• Daniel Noble

  IRN DXN00114

  • [FCA CF] Manager of certification employee (since 19 Feb 2024)
  • [FCA CF] Significant management (since 27 May 2022)
• David Michael Griffin

  IRN DMG01152

  • [FCA CF] Manager of certification employee (30 Mar 2022 to 1 Jun 2023)
  • [FCA CF] Significant management (30 Mar 2022 to 1 Jun 2023)
  • SMF3 Executive Director (9 Dec 2019 to 30 Mar 2022)
  • CF1 Director (25 Nov 2019 to 8 Dec 2019)
  • CF10a CASS Oversight function (8 Aug 2019 to 8 Dec 2019)
  • CF29 Significant management (18 Apr 2016 to 8 Dec 2019)
• David Terence Bridger

  IRN DXB00402

  • [FCA CF] Manager of certification employee (25 Apr 2022 to 1 Jun 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 1 Jun 2022)
• Dean Russell Tower

  IRN DXT00124

  • [FCA CF] Manager of certification employee (26 Jun 2020 to 9 Sep 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 5 Jul 2023)
• Denise Cook

  IRN DXC00650

  • [FCA CF] Manager of certification employee (11 Jul 2023 to 11 Jan 2024)
  • [FCA CF] Significant management (8 Mar 2023 to 11 Jan 2024)
• Donna Louise Gumbleton

  IRN DXG00382

  • SMF3 Executive Director (17 Oct 2022 to 12 Jun 2025)
• Duncan Leslie

  IRN DXL00297

  • [FCA CF] Manager of certification employee (since 6 Mar 2025)
  • [FCA CF] Significant management (since 25 Apr 2022)
• Edward Henry Whittingham Moore

  IRN EHM01020

  • CF1 Director (18 Nov 2010 to 26 Aug 2011)
  • CF3 Chief Executive (18 Nov 2010 to 26 Aug 2011)
• Gail Clark

  IRN GXC00393

  • [FCA CF] Significant management (since 15 Jun 2022)
• Gemma Louise Vibert

  IRN GXV00029

  • [FCA CF] Significant management (since 1 Jul 2020)

No changes recorded yet.