CADE AND CO LLP

• Principal Place of Business

  Regus

  Regus House

  Fairbourne Drive

  Atterbury

  Milton Keynes

  MK10 9RG

  UNITED KINGDOM

  Phone

  +4401604832932

  Web

  https://www.cadeandco.co.uk

• Complaints Contact

  Regus House

  Fairbourne Drive

  Atterbury

  Milton Keynes

  Milton Keynes

  MK10 9RG

  UNITED KINGDOM

  Phone

  +4401604832932

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For 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

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• Investment Advice (no pensions)

  For 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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

• Equity Release Arranging

  For Customer, Home reversion plans

• Arranges Investments

  For 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

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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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For 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.

• Christopher John Hallworth

  IRN CJH00072

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (25 Sep 2009 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (25 Sep 2009 to 8 Dec 2019)
  • CF4 Partner (25 Sep 2009 to 8 Dec 2019)
  • Responsible for Insurance Mediation (25 Sep 2009 to 30 Sep 2018)
  • CF10 Compliance Oversight (25 Sep 2009 to 8 Dec 2019)
• Jared Jon Osborne

  IRN JJO01045

  • CF30 Customer (10 Jan 2012 to 1 Dec 2012)
• Mandy Jane Hallworth

  IRN HXM01182

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (25 Sep 2009 to 8 Dec 2019)
• Niel Fraser Gavin

  IRN NFG00001

  • SMF17 Money Laundering Reporting Officer (MLRO) (26 Apr 2022 to 30 Jan 2026)
  • SMF16 Compliance Oversight (26 Apr 2022 to 30 Jan 2026)
• Sachin Dileep Pattni

  IRN SXP01459

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Significant management (since 26 Apr 2023)
  • SMF27 Partner (since 26 Apr 2023)
  • [FCA CF] Client dealing (since 6 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 6 Jan 2023)
• Samantha Kmieciak

  IRN SMJ01105

  • [FCA CF] Functions requiring qualifications (1 Apr 2021 to 27 Feb 2023)
  • [FCA CF] Client dealing (1 Apr 2021 to 27 Feb 2023)
• Vinay Mahant

  IRN MXV00211

  • 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)
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 3 Jun 2025)
  • [FCA CF] Functions requiring qualifications (since 31 Jan 2025)

No changes recorded yet.