Case Financial Consulting Limited

Date authorised
15 November 2019
Companies House
11541428
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    White Stacks
    Bisham Road
    Marlow
    Bucks
    SL7 1RL
    UNITED KINGDOM
    Phone
    +441491639205
    Web
    https://www.cfclimited.co.uk

  • Complaints Contact

    White Stacks
    Bisham Road
    Marlow
    Bucks
    SL7 1RL
    UNITED KINGDOM
    Phone
    +441491639205

What this firm is allowed to do

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

  • Investment Advice (no pensions)

    For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" 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 Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Investment Setup

    For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • George Christopher Vaughan Case

    IRN GCC01025

    • 11. Pension transfer specialist
    • 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
    • 17. Administrative functions in relation to managing investments
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 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
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (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)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF10 Compliance Oversight (15 Nov 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (12 Nov 2019 to 8 Dec 2019)
    • CF3 Chief Executive (12 Nov 2019 to 8 Dec 2019)
    • CF30 Customer (12 Nov 2019 to 8 Dec 2019)
    • CF1 Director (12 Nov 2019 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.