Charles Royle & Company

• Principal Place of Business

  18 Devon Square

  Newton Abbot

  Devon

  TQ12 2HR

  UNITED KINGDOM

  Phone

  +4401626332083

  Web

  https://www.charlesroyle.co.uk

• Complaints Contact

  18 Devon Square

  Newton Abbot

  Devon

  TQ12 2HR

  UNITED KINGDOM

  Phone

  +4401626332083

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

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

• Pension Transfer Advice

  For Professional, 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 pension policies with a Guaranteed Annuity Rate.
  • · 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

  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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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

  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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

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

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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

  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.

• Andrew Durban

  IRN AXD00002

  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jul 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jul 2022)
  • SMF27 Partner (9 Dec 2019 to 1 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jul 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jul 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 1 Jul 2022)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 1 Jul 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (20 Oct 2003 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (20 Oct 2003 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Emma Whitney

  IRN EXW00025

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2023)
• Jennifer Perriam

  IRN JXP00078

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Feb 2023)
• John Hamish Thomas Mills

  IRN JHM01086

  • 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
  • SMF27 Partner (since 23 Mar 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Mar 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (10 Mar 2015 to 8 Dec 2019)
• Lee Stone

  IRN SXL02165

  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 5 Jul 2022)
• Martin Geoffrey Smart

  IRN MGS00001

  • CF10 Compliance Oversight (1 Dec 2001 to 31 Aug 2003)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 31 Aug 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Aug 2003)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Aug 2003)
  • CF4 Partner (1 Dec 2001 to 31 Aug 2003)
• Nicholas Richards

  IRN NXR00008

  • SMF27 Partner (9 Dec 2019 to 6 Apr 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 6 Apr 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 Apr 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
• Patricia Mary Durban

  IRN PMD00002

  • CF4 Partner (1 Dec 2001 to 31 Aug 2002)
• Paul Anthony Williams

  IRN PAW01192

  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 7. Giving personal recommendations on long-term care insurance contracts
  • SMF16 Compliance Oversight (since 7 Apr 2022)
  • Responsible for Insurance Distribution (since 18 Mar 2022)
  • SMF27 Partner (since 18 Mar 2022)
  • Responsibility for MCD Intermediation (since 18 Mar 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (24 Sep 2019 to 8 Dec 2019)
• Shane Reavey

  IRN SXR52270

  • [FCA CF] Functions requiring qualifications (30 Nov 2023 to 21 Dec 2023)

No changes recorded yet.