Cherwell Financial Services Limited

• Principal Place of Business

  Banbury Business Park

  Ground Floor

  Unit 15 Somerville Court

  Adderbury

  Banbury

  Oxfordshire

  OX17 3SN

  UNITED KINGDOM

  Phone

  +4401295698600

  Web

  https://www.cherwellfs.com

• Complaints Contact

  Banbury Business Park

  Ground Floor

  Unit 15 Somerville Court

  Adderbury

  Banbury

  Oxfordshire

  OX17 3SN

  UNITED KINGDOM

  Phone

  +4401295698600

• 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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  • · 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.

• 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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  • · 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

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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.

• Credit Score Services

  Show 1 limitation Hide limitations

  • · This permission is limited to not carrying out credit repair services

• Bridgitte Theresa Johnson

  IRN BXJ00103

  • [FCA CF] Functions requiring qualifications (5 Sep 2022 to 24 Feb 2023)
• John Alasdair Colquhoun

  IRN JAC00117

  • 11. Pension transfer specialist
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 9A. Advising on P2P agreements
  • Responsible for Insurance Distribution (since 13 Oct 2021)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (1 Sep 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Sep 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Sep 2014 to 8 Dec 2019)
  • CF1 Director (1 Sep 2014 to 8 Dec 2019)
• Lawrence Stephen Newell

  IRN LSN01004

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Aug 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Aug 2021)
  • SMF3 Executive Director (9 Dec 2019 to 1 Sep 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 1 Sep 2021)
  • CF1 Director (1 Sep 2014 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Sep 2014 to 30 Sep 2018)
  • CF30 Customer (1 Sep 2014 to 8 Dec 2019)
• Rodney Stefano Angelo Tassa

  IRN RST00021

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Oct 2025)
  • CF30 Customer (3 Dec 2015 to 8 Dec 2019)
• Stuart Randall

  IRN SDR00032

  • 11. Pension transfer specialist
  • 9A. Advising on P2P agreements
  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (11 Sep 2017 to 8 Dec 2019)

No changes recorded yet.