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.

• Phillip White

  IRN PGW01114

  • CF28 Systems and controls (19 Feb 2016 to 8 Dec 2019)
  • CF10a CASS Oversight function (6 Nov 2012 to 9 Mar 2018)
• Richard Parsley

  IRN RXP00291

  • [FCA CF] Significant management (15 Jun 2021 to 31 Aug 2022)
• Riz Careem

  IRN RXC00186

  • [FCA CF] Manager of certification employee (18 Dec 2020 to 31 Jan 2022)
  • [FCA CF] Significant management (18 Dec 2020 to 31 Jan 2022)
• Stuart James Geard

  IRN SJG01233

  • CF28 Systems and controls (19 Nov 2007 to 28 Sep 2012)
  • CF1 Director (19 Nov 2007 to 28 Sep 2012)
• Timothy James Fox

  IRN TJF01037

  • CF10a CASS Oversight function (1 Oct 2011 to 31 Oct 2012)
  • CF11 Money Laundering Reporting (9 Sep 2010 to 19 Feb 2015)
  • CF10 Compliance Oversight (19 Nov 2007 to 19 Feb 2015)

• Sanlam UK Limited (no longer appointed)

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

No changes recorded yet.