Barker Poland Asset Management LLP

• Principal Place of Business

  Walker Crips Group plc

  Evermore

  128 Queen Victoria Street

  London

  City Of London

  EC4V 4BJ

  UNITED KINGDOM

  Phone

  +442031008308

  Web

  https://www.barkerpoland.co.uk

• Complaints Contact

  Walker Crips Group plc

  Evermore

  128 Queen Victoria Street

  London

  City Of London

  EC4V 4BJ

  UNITED KINGDOM

  Phone

  +442031008454

• Pension Transfer Advice

  For Eligible Counterparty, 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

  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.

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, 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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Eligible Counterparty, 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

  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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Investment Setup

  For Commercial, Eligible Counterparty, 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

  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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• James Edward John Piper

  IRN JEP01101

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (3 Aug 2010 to 8 Dec 2019)
  • CF4 Partner (24 Nov 2009 to 6 Mar 2015)
• James Robert Hiett

  IRN JRH01310

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Jan 2026)
  • CF11 Money Laundering Reporting (13 Jul 2018 to 8 Dec 2019)
• Jennie Holland

  IRN JXH13770

  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jul 2021)
  • CF10 Compliance Oversight (1 May 2019 to 8 Dec 2019)
• Karen Watt

  IRN KXW00501

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Appointed representative dealing with clients for which they require qualification (since 28 Feb 2025)
• Michael Stephen Lewis

  IRN MSL01040

  • 11. Pension transfer specialist
  • 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)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Mar 2012 to 8 Dec 2019)
• Michael Vincent Gower

  IRN MVG01008

  • [FCA CF] Client dealing (9 Dec 2019 to 17 Oct 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 17 Oct 2023)
  • CF30 Customer (1 Mar 2013 to 8 Dec 2019)
• Patrick George Barker

  IRN PGB01069

  • CF4 Partner (24 Nov 2009 to 6 Mar 2015)
  • CF30 Customer (24 Nov 2009 to 31 Dec 2012)
• Roderick Goddard

  IRN RXG01309

  • CF11 Money Laundering Reporting (24 Nov 2009 to 6 Mar 2015)
  • CF4 Partner (24 Nov 2009 to 6 Mar 2015)
  • CF10 Compliance Oversight (24 Nov 2009 to 6 Mar 2015)
• Roderick Martin Collins

  IRN RMC01092

  • CF30 Customer (24 Nov 2009 to 22 Oct 2013)
• Valentina Siew Gek Kang

  IRN VSK01013

  • SMF16 Compliance Oversight (1 Sep 2022 to 8 Jan 2025)
  • CF10 Compliance Oversight (2 Jul 2018 to 1 May 2019)

No changes recorded yet.