CHASE ST JAMES'S PRIVATE CLIENTS LIMITED

Date authorised
1 April 2013
Companies House
03469051
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Little Aish
    Aish
    South Brent
    Devon
    TQ10 9JG
    UNITED KINGDOM
    Phone
    +4407976446263

  • Complaints Contact

    Little Aish
    Aish
    South Brent
    Devon
    TQ10 9JG
    UNITED KINGDOM
    Phone
    +4407976446263

What this firm is allowed to do

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

  • 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
    • · 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

    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

    Show 1 limitation
    • · 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 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, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

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

  • Jonathan Christopher Cornish

    IRN JCC01219

    • CF1 Director (23 Apr 2012 to 27 Dec 2013)
    • CF10 Compliance Oversight (23 Apr 2012 to 27 Dec 2013)
    • CF11 Money Laundering Reporting (23 Apr 2012 to 27 Dec 2013)
    • CF30 Customer (23 Apr 2012 to 27 Dec 2013)
  • Juliet Grace Edmunds

    IRN JGE01015

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 18 Dec 2012)
    • CF8 Apportionment and Oversight (3 Jan 2007 to 31 Mar 2009)
    • Responsible for Insurance Mediation (3 Jan 2007 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (3 Jan 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2007 to 8 Dec 2019)
    • CF1 Director (3 Jan 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (3 Jan 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.