Caton Fry Financial Services Limited

Date authorised
1 April 2013
Companies House
04692908
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Essex House
    8 The Shrubberies
    George Lane
    London
    E18 1BD
    UNITED KINGDOM
    Phone
    +4402085301975
    Web
    https://www.cffs.co.uk

  • Complaints Contact

    Essex House
    8 The Shrubberies
    George Lane
    London
    E18 1BD
    UNITED KINGDOM
    Phone
    +4402085301975

What this firm is allowed to do

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

  • Pension Transfer Advice

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

    Show 1 limitation
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

  • 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

  • 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, 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

  • Insurance Admin

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

  • Debt Advice

    Show 1 limitation
    • · 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

Approved individuals

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

  • Christine Ann Caton

    IRN CAC00004

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Nov 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 21 Nov 2025)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (12 Jun 2003 to 5 Jun 2013)
    • CF11 Money Laundering Reporting (12 Jun 2003 to 5 Jun 2013)
    • CF21 Investment Adviser (12 Jun 2003 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (12 Jun 2003 to 31 Oct 2007)
    • CF1 Director (12 Jun 2003 to 5 Dec 2019)
  • Edward Owen Caton

    IRN EOC00001

    • SMF3 Executive Director (9 Dec 2019 to 5 Jul 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 13 Jul 2022)
    • CF30 Customer (1 Nov 2007 to 5 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF1 Director (12 Jun 2003 to 8 Dec 2019)
    • CF21 Investment Adviser (12 Jun 2003 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (12 Jun 2003 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (12 Jun 2003 to 31 Mar 2009)
  • Jonathan Edward Caton

    IRN JEC01144

    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF24 Pension Transfer Specialist (12 Jun 2003 to 31 Oct 2007)
    • CF1 Director (12 Jun 2003 to 16 Mar 2011)
    • CF21 Investment Adviser (12 Jun 2003 to 31 Oct 2007)
  • Peter James Caton

    IRN PJC01321

    • 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
    • Responsible for Insurance Distribution (since 21 Jan 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (17 Jun 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (17 Jun 2013 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (14 Sep 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (30 Aug 2007 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (30 Aug 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (16 May 2007 to 30 Aug 2007)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.