Clarke Fencott LLP

• Principal Place of Business

  Unit 2

  Sidestrand, Pendeford Business Park

  Wolverhampton

  West Midlands

  WV9 5HD

  UNITED KINGDOM

  Phone

  +4401902625030

  Web

  https://www.clarkefencott.co.uk

• Complaints Contact

  Clarke Fencott LLP, Unit 2

  Sidestrand

  Pendeford Business Park

  Wolverhampton

  West Midlands

  WV9 5HD

  UNITED KINGDOM

  Phone

  +4401902625030

• 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.

• 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

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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 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”.
  • · Limited to debt counselling which is provided in connection with investment advice and buy-to-let mortgages.

• 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.

• Daniel James Thompson

  IRN DXT00045

  • [FCA CF] Client dealing (2 Dec 2020 to 31 Mar 2021)
• David John Colley

  IRN DJC00076

  • CF30 Customer (4 Jan 2010 to 20 Feb 2013)
• Edward Philip Humphries

  IRN EXH00054

  • [FCA CF] Client dealing (2 Dec 2020 to 22 Jun 2022)
• Gavin Fraser Mackay

  IRN GFM01031

  • CF30 Customer (4 Jan 2010 to 5 Sep 2017)
• Ian Lawrence Dornan

  IRN ILD00004

  • [FCA CF] Manager of certification employee (2 Dec 2020 to 27 Mar 2026)
  • [FCA CF] Client dealing (2 Dec 2020 to 27 Mar 2026)
• James Richard March

  IRN JXM01404

  • [FCA CF] Client dealing (8 Aug 2024 to 31 Dec 2025)
  • [FCA CF] Functions requiring qualifications (8 Aug 2024 to 31 Dec 2025)
• Kenneth Fencott

  IRN KXF01367

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (6 Dec 2017 to 8 Dec 2019)
• Mandy Elaine Fencott

  IRN MEF00004

  • 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
  • 11. Pension transfer specialist
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (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 (6 Oct 2017 to 30 Sep 2018)
  • CF10 Compliance Oversight (22 Sep 2017 to 8 Dec 2019)
  • CF4 Partner (4 Jan 2010 to 8 Dec 2019)
  • CF30 Customer (4 Jan 2010 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (4 Jan 2010 to 8 Dec 2019)
• Paul James Clarke

  IRN PJC00026

  • CF10 Compliance Oversight (4 Jan 2010 to 22 Sep 2017)
  • CF30 Customer (4 Jan 2010 to 7 Dec 2017)
  • CF4 Partner (4 Jan 2010 to 26 Oct 2017)
  • Responsible for Insurance Mediation (4 Jan 2010 to 22 Sep 2017)
• Reeta Toora

  IRN RXT01284

  • [FCA CF] Client dealing (2 Dec 2020 to 6 Sep 2023)

No changes recorded yet.