Clifton Compliance Services Ltd

Date authorised
1 April 2013
Companies House
06529425
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Clifton Asset Management plc
    The Pavilions 69-71
    Macrae Road
    Pill
    Bristol
    North Somerset
    BS20 0DD
    UNITED KINGDOM
    Phone
    +4401275813700
    Web
    https://www.clifton-asset.co.uk

  • Complaints Contact

    Clifton Asset Management plc
    The Pavilions 69-71
    Macrae Road
    Pill
    Bristol
    North Somerset
    BS20 0DD
    UNITED KINGDOM
    Phone
    +4401275813700

What this firm is allowed to do

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

  • 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

    Show 1 limitation
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

  • 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.

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • 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.

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

  • Credit Brokering

  • 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, 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.

  • David Hancock

    IRN DXH01695

    • CF30 Customer (21 Aug 2008 to 30 Dec 2010)
  • David John Suckling

    IRN DJS01367

    • CF10 Compliance Oversight (23 Apr 2013 to 3 Jul 2015)
    • CF28 Systems and controls (23 Apr 2013 to 3 Jul 2015)
    • CF1 Director (23 Apr 2013 to 3 Jul 2015)
  • David Orde Blackburn

    IRN DOB00002

    • CF30 Customer (3 Dec 2008 to 10 Sep 2012)
  • David Thomas Bentley

    IRN DTB01066

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 5 Jul 2013)
  • Dominic James Barry

    IRN DJB01466

    • CF30 Customer (21 Aug 2008 to 31 Mar 2011)
  • Duncan Andrew Reeves

    IRN DAR01218

    • CF30 Customer (29 Apr 2013 to 16 Dec 2014)
  • Ed (Idert) Grobler

    IRN IXG01198

    • CF30 Customer (31 Jan 2011 to 6 Mar 2014)
  • Ellis Organ

    IRN EXO00008

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (AR) (since 21 Aug 2008)
    • Responsible for Insurance Distribution (1 Oct 2018 to 3 Dec 2025)
    • Responsible for Insurance Mediation (6 Oct 2015 to 30 Sep 2018)
    • CF1 Director (23 Sep 2015 to 8 Dec 2019)
  • Emma Louise Hall

    IRN ELH01039

    • CF30 Customer (30 Oct 2013 to 3 Dec 2019)
  • George Rudge

    IRN GXR00222

    • [FCA CF] Functions requiring qualifications (20 Dec 2022 to 15 Mar 2024)
    • [FCA CF] Client dealing (20 Dec 2022 to 15 Mar 2024)
    • CF30 Customer (7 Dec 2022 to 15 Oct 2024)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.