Cavendish Private Wealth Limited

• Principal Place of Business

  33 Cavendish Square

  London

  W1G 0PW

  UNITED KINGDOM

  Phone

  +4407831134161

  Web

  https://www.cavendishpw.com

• Complaints Contact

  Cavendish Private Wealth

  33 Cavendish Square

  London

  W1G 0PW

  UNITED KINGDOM

  Phone

  +4407831134161

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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.

• 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

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  • · 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

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  • · 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

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  • · 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity
  • · Limited to debt counselling which is provided in connection with investment advice and buy-to-let mortgages.

• 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

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  • · 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.

• Derek Turner

  IRN DXT00048

  • [FCA CF] Client dealing (9 Dec 2019 to 21 May 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 May 2025)
  • CF30 Customer (2 Jan 2014 to 8 Dec 2019)
• Ian Clive Tandy

  IRN ICT00001

  • 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)
  • 9A. Advising on P2P agreements
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] Benchmark submission and administration (9 Dec 2019 to 26 Nov 2021)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 26 Nov 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 26 Nov 2021)
  • [PRA CF] Key function holder (9 Dec 2019 to 26 Nov 2021)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 23 Mar 2021)
  • CF10 Compliance Oversight (2 Jan 2014 to 8 Dec 2019)
  • CF1 Director (2 Jan 2014 to 8 Dec 2019)
  • CF30 Customer (2 Jan 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (2 Jan 2014 to 8 Dec 2019)
  • Responsible for Insurance Mediation (2 Jan 2014 to 30 Sep 2018)
• Karen Duffy-Parkes

  IRN KXD00035

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Mar 2021)

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