CAPITAL ASSET MANAGEMENT (FINANCIAL PLANNING) LIMITED

• Principal Place of Business

  Chancery House

  53-64 Chancery Lane

  London

  City Of London

  WC2A 1QS

  UNITED KINGDOM

  Phone

  +442073986600

  Web

  https://www.capital.co.uk

• Complaints Contact

  Chancery House

  53-64 Chancery Lane

  London

  City Of London

  WC2A 1QS

  UNITED KINGDOM

  Phone

  +442073986600

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

• Investment Advice (no pensions)

  For Commercial, 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, 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.

• Insurance Admin

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

• Stockbroking

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

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Investment Setup

  For Commercial, 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.

• Alan John Laidlaw Smith

  IRN AJS00204

  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (AR) (11 Apr 2005 to 10 Jan 2010)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (14 Jan 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (14 Jan 2004 to 31 Oct 2007)
  • CF10 Compliance Oversight (14 Jan 2004 to 27 May 2016)
  • CF11 Money Laundering Reporting (14 Jan 2004 to 27 May 2016)
  • CF3 Chief Executive (14 Jan 2004 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (14 Jan 2004 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (14 Jan 2004 to 31 Mar 2009)
• Charles Antony Michael Riches

  IRN CAR00038

  • 11. Pension transfer specialist
  • 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
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 May 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 May 2024)
  • CF10 Compliance Oversight (3 Jul 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Jul 2015 to 8 Dec 2019)
  • CF1 Director (3 Jul 2015 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (31 May 2006 to 31 Oct 2007)
• Chirine Harb

  IRN CXH00778

  • SMF3 Executive Director (since 1 May 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 May 2024)
  • SMF16 Compliance Oversight (since 1 May 2024)
• Debbie Ann Higgins

  IRN DAH01194

  • CF1 Director (AR) (6 Apr 2005 to 10 Jan 2010)
• Donald Magnus Fraser

  IRN DMF01041

  • 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)
  • SMF3 Executive Director (9 Dec 2019 to 1 Jun 2025)
  • CF1 Director (29 Jun 2015 to 8 Dec 2019)
  • CF30 Customer (22 Feb 2013 to 8 Dec 2019)
• Elliot Smith

  IRN EXS00084

  • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 30 Mar 2023)
  • [FCA CF] Client dealing (1 Jan 2021 to 30 Mar 2023)
• Fiona Alison Price

  IRN FAP01033

  • 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 5 Dec 2023)
  • [FCA CF] Functions requiring qualifications (since 5 Dec 2023)
• Graham Robert McCulley

  IRN GRM00011

  • 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
  • 11. Pension transfer specialist
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (18 May 2015 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (AR) (6 Apr 2005 to 8 Nov 2010)
  • CF21 Investment Adviser (26 Oct 2004 to 31 Oct 2007)
• Hazel Anne Scarff

  IRN HXS00211

  • 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] Client dealing (since 1 Nov 2024)
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2024)
• James Alan Mousley

  IRN JAM01437

  • CF30 Customer (7 Mar 2018 to 20 Aug 2018)

• Century House Investment Services Ltd (no longer appointed)

  FRN 430176 · Appointed 24 Mar 2005 · Until 6 Sep 2009

No changes recorded yet.