CHASE ASSET MANAGEMENT LIMITED

• Principal Place of Business

  102 The Tannery

  Water Street

  Portwood

  Stockport

  Cheshire

  SK1 2BP

  UNITED KINGDOM

  Phone

  +4401614411200

  Web

  https://www.chaseam.co.uk

• Complaints Contact

  102 The Tannery

  Water Street

  Portwood

  Stockport

  Cheshire

  SK1 2BP

  UNITED KINGDOM

  Phone

  +4401614411200

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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: 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

  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

• Debt Advice

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  • · This permission is in connection with advising individuals planning for income in retirement, including investment advice, pension advice and the arrangement of mortgages.
  • · 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.

• Anthony William Hutter

  IRN AWH00002

  • Responsibility for MCD Intermediation (21 Mar 2016 to 30 Apr 2016)
  • CF30 Customer (16 Apr 2013 to 23 Nov 2016)
  • CF10 Compliance Oversight (1 Jul 2010 to 30 Apr 2016)
  • Responsible for Insurance Mediation (1 Jul 2010 to 30 Apr 2016)
  • CF11 Money Laundering Reporting (1 Jul 2010 to 30 Apr 2016)
  • CF1 Director (1 Jul 2010 to 30 Apr 2016)
• Darren John West

  IRN DJW01414

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Jul 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 22 Jul 2024)
  • CF30 Customer (20 May 2014 to 8 Dec 2019)
• Dean Francis Harrison

  IRN DFH00001

  • CF30 Customer (20 May 2013 to 23 Sep 2013)
• Howard William Buckley

  IRN HWB00001

  • CF30 Customer (1 Jul 2010 to 8 Dec 2019)
  • CF1 Director (1 Jul 2010 to 29 Nov 2019)
• Lisa Tam

  IRN LXT00087

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
• Robert Stephen Hughes

  IRN RSH00041

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsible for Insurance Mediation (11 Jul 2016 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (16 May 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (16 May 2016 to 8 Dec 2019)
  • CF30 Customer (1 Jul 2010 to 8 Dec 2019)
  • CF1 Director (1 Jul 2010 to 8 Dec 2019)
• Simon Keith Hale

  IRN SKH00002

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF3 Executive Director (since 6 Nov 2024)
  • [FCA CF] Client dealing (since 10 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (18 Nov 2013 to 8 Dec 2019)
• Stephen Ho

  IRN SXH00244

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 16 May 2016)
  • CF1 Director (16 May 2016 to 8 Dec 2019)
  • CF30 Customer (23 May 2011 to 8 Dec 2019)

• Anthony William Hutter (no longer appointed)

  FRN 527110 · Appointed 5 Jul 2010 · Until 1 Jun 2014

• Howard William Buckley (no longer appointed)

  FRN 527020 · Appointed 5 Jul 2010 · Until 1 Jun 2014

• Robert Stephen Hughes (no longer appointed)

  FRN 527018 · Appointed 5 Jul 2010 · Until 1 Jun 2014

No changes recorded yet.