CHRIS LEACH AND ASSOCIATES LIMITED

Date authorised
1 April 2013
Companies House
01752622
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Telynfa
    Main Road
    Gwaelod-y-Garth
    Cardiff
    South Glamorgan
    CF15 9HJ
    UNITED KINGDOM
    Phone
    +4402920814070
    Web
    https://www.chrisleachandassociates.com

  • Complaints Contact

    Telynfa
    Main Road
    Gwaelod-y-Garth
    Cardiff
    South Glamorgan
    CF15 9HJ
    UNITED KINGDOM
    Phone
    +4402920814070

What this firm is allowed to do

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

  • Pension Transfer Advice

    For 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

    Show 2 limitations
    • · 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 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 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.

  • Buy-to-Let Start Date

  • Buy-to-Let End Date

  • Credit Brokering

  • Debt Advice

    Show 1 limitation
    • · 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”.

  • Consumer Loans

    Show 2 limitations
    • · Limited to lending where no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement
    • · Limited to lending that is in connection with the repayment of fees which are only for ongoing services or regular premiums

  • Loan Servicing

  • Investment Setup

    For 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.

  • Credit Score Services

    Show 1 limitation
    • · This permission is limited to not carrying out credit repair services

Approved individuals

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

  • Anthony James Heather

    IRN AJH00045

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • SMF16 Compliance Oversight (since 13 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Dec 2019)
    • SMF3 Executive Director (since 13 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)
    • CF30 Customer (3 Jan 2012 to 8 Dec 2019)
  • Christine Mary Leach

    IRN CML00007

    • 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
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 9 Dec 2019)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 13 Apr 2023)
    • CF10 Compliance Oversight (3 Jan 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2012 to 8 Dec 2019)
    • CF1 Director (3 Jan 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Jan 2012 to 30 Sep 2018)
    • CF30 Customer (3 Jan 2012 to 8 Dec 2019)
  • Judith Phillips

    IRN JXP01966

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (3 Jan 2012 to 8 Dec 2019)
  • Martyn Bulman

    IRN MXB02645

    • 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
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (2 Dec 2019 to 8 Dec 2019)
    • CF30 Customer (3 Jan 2012 to 8 Dec 2019)

Recent activity

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

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