CASFS Ltd

• Principal Place of Business

  2nd floor

  33-34 Winckley Square

  Preston

  Lancashire

  PR1 3JJ

  UNITED KINGDOM

  Phone

  +441772972050

  Web

  https://www.countrywideassured.co.uk

• Complaints Contact

  2nd Floor

  33-34 Winckley Square

  Preston

  Lancashire

  PR1 3JJ

  UNITED KINGDOM

  Phone

  +4407711948689

• 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 Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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), Life Policy

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · In respect of the firm's personal pension scheme business, the firm is limited to carrying on this activity in the rights under the personal pension scheme(s) that it operates.
  • · 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.

• Trades With You Directly

  For Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

  Show 2 limitations Hide limitations

  • · Investment activity in 'rights to or interests in investments (security)' is limited to the investment types granted for this activity.
  • · In respect of the firm's Personal pension scheme business, the firm is limited to carrying on this activity in the rights under the personal pension scheme(s) that it operates.

• Runs Personal Pensions

• Investment Setup

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Alexander Robert Knott

  IRN AXK32974

  • [FCA CF] Significant management (9 Dec 2019 to 28 Apr 2022)
• Andrew James Richards

  IRN AJR01413

  • SMF3 Executive Director (25 Oct 2022 to 30 Sep 2025)
• Anton Gildenhuys

  IRN AXG01742

  • CF2 Non Executive Director (24 Oct 2011 to 21 Jun 2013)
• Christopher Hicks

  IRN CXH32975

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Jan 2022)
• Christopher Hodgkinson

  IRN CXH00572

  • [FCA CF] Significant management (1 Sep 2022 to 31 Jul 2023)
• Christopher Tolkien

  IRN CET01038

  • [FCA CF] Functions requiring qualifications (20 Feb 2021 to 28 Apr 2022)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 28 Apr 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 28 Apr 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 28 Apr 2022)
  • CF10a CASS Oversight function (9 Mar 2018 to 8 Dec 2019)
• David John Mason

  IRN DJM01690

  • SMF3 Executive Director (9 Dec 2019 to 28 Apr 2022)
  • CF1 Director (10 Oct 2019 to 8 Dec 2019)
• David Joseph Dixon

  IRN DJD00017

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Apr 2022)
  • CF11 Money Laundering Reporting (10 Oct 2016 to 8 Dec 2019)
• David Sheldon Brand

  IRN DSB01049

  • SMF9 Chair of the Governing Body (3 Jan 2023 to 26 Apr 2023)
• Dayleen van Zyl

  IRN DXV08888

  • [FCA CF] Significant management (9 Dec 2019 to 28 Apr 2022)

• Sanlam UK Limited (no longer appointed)

  FRN 565824 · Appointed 10 Oct 2011 · Until 31 Dec 2021

No changes recorded yet.