Cairn Financial Management Limited

Date authorised
3 June 2019
Companies House
SC614957
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Suite 501
    Baltic Chambers, 50 Wellington Street
    Glasgow
    Lanarkshire
    G2 6HJ
    UNITED KINGDOM
    Phone
    +441414832222
    Web
    https://www.cairnfm.co.uk

  • Complaints Contact

    Suite 501
    Baltic Chambers, 50 Wellington Street
    Glasgow
    Lanarkshire
    G2 6HJ
    UNITED KINGDOM
    Phone
    +441414832222

What this firm is allowed to do

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

  • P2P Lending Advice

  • 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

    Show 2 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.
    • · 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 Advice (no pensions)

    For Professional, Retail (Investment), 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
    • · 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
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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
    • · 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 Setup

    For Commercial, Retail (Investment), 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
    • · 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.

  • Ian Black

    IRN IXB01426

    • 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 24 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 24 Nov 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 3 Jun 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Jan 2020)
    • CF10 Compliance Oversight (12 Nov 2019 to 8 Dec 2019)
    • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jun 2019 to 8 Dec 2019)
    • CF1 Director (3 Jun 2019 to 8 Dec 2019)
  • Kenneth Stewart Devine

    IRN KSD01017

    • 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 24 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 24 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (14 Jan 2020 to 30 Apr 2026)
    • SMF16 Compliance Oversight (9 Dec 2019 to 14 Jan 2020)
    • SMF3 Executive Director (9 Dec 2019 to 30 Apr 2026)
    • CF1 Director (3 Jun 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jun 2019 to 8 Dec 2019)
    • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
  • Thomas McAllister

    IRN TXM00001

    • [FCA CF] Client dealing (24 Nov 2020 to 31 Dec 2021)
    • [FCA CF] Functions requiring qualifications (24 Nov 2020 to 31 Dec 2021)
    • CF30 Customer (18 Jun 2019 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.