CheckRisk LLP

• Principal Place of Business

  Valley Cottage

  Harts Yard

  The Folly

  Nether Compton

  Sherborne

  Dorset

  DT9 4QG

  UNITED KINGDOM

  Phone

  +447788976768

  Web

  https://www.checkrisk.co.uk

• Complaints Contact

  Valley Cottage

  The Folly

  Nether Compton

  Sherborne

  Dorset

  DT9 4QG

  UNITED KINGDOM

  Phone

  +447788976768

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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

  For Retail (Investment)

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Alistair Joseph Stones

  IRN AJS01598

  • CF11 Money Laundering Reporting (11 Dec 2008 to 1 Sep 2009)
  • CF10 Compliance Oversight (11 Dec 2008 to 1 Sep 2009)
• Fiona Carter

  IRN FXC01233

  • CF10 Compliance Oversight (8 Sep 2009 to 16 Nov 2017)
  • CF11 Money Laundering Reporting (8 Sep 2009 to 16 Nov 2017)
• Kate Bullman

  IRN KXB01588

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (11 Dec 2008 to 8 Dec 2019)
• Manuel Lionel Carrelet

  IRN MLC01035

  • CF30 Customer (28 Jan 2011 to 25 Feb 2015)
• Nicholas Patrick Baudouin Bullman

  IRN NXB01200

  • 3. Giving personal recommendations on derivatives
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 5 Mar 2021)
  • [FCA CF] Significant management (since 5 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 5 Mar 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (29 Nov 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (29 Nov 2017 to 8 Dec 2019)
  • CF3 Chief Executive (11 Dec 2008 to 8 Dec 2019)
  • CF30 Customer (11 Dec 2008 to 8 Dec 2019)
  • CF4 Partner (11 Dec 2008 to 8 Dec 2019)
• Paul Charles Warren

  IRN PCW01052

  • CF30 Customer (11 Dec 2008 to 30 Sep 2009)
• Ralph Andresen

  IRN RFA01026

  • [FCA CF] Client dealing (since 10 Dec 2019)
• Roger Caedmon Mortimer

  IRN RXM01683

  • CF30 Customer (29 Jun 2009 to 31 Aug 2010)
• Ross James Thane Pepperell

  IRN RXP01288

  • 3. Giving personal recommendations on derivatives
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 10. Broker fund adviser
  • 9A. Advising on P2P agreements
  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Significant management (since 10 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
  • CF30 Customer (7 Jan 2013 to 8 Dec 2019)
• William Stephen Gilmore

  IRN WSG01007

  • CF30 Customer (16 Apr 2012 to 22 Feb 2013)

No changes recorded yet.