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.

  • Graham Richard Warner

    IRN GRW01088

    • CF30 Customer (8 Sep 2008 to 31 Oct 2009)
  • Heather Wendy Harding

    IRN HWH01018

    • CF30 Customer (7 Nov 2008 to 31 Dec 2014)
  • Ian Ashley Rawlings

    IRN IAR01024

    • CF30 Customer (21 Aug 2008 to 19 Jul 2016)
  • Ian Paul Scaife

    IRN IPS00006

    • SMF16 Compliance Oversight (9 Dec 2019 to 2 Sep 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Sep 2025)
    • CF11 Money Laundering Reporting (21 Jul 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (21 Jul 2015 to 8 Dec 2019)
    • CF30 Customer (21 Aug 2008 to 2 Sep 2025)
  • James Cridland

    IRN JXC02641

    • CF30 Customer (5 Oct 2018 to 10 Mar 2020)
  • Jane Louise Protas

    IRN JLP01110

    • CF30 Customer (30 Jul 2010 to 30 Dec 2010)
  • Jennifer Holman

    IRN JEH01207

    • CF30 Customer (1 Dec 2012 to 22 May 2015)
  • Jeremy Guy Kelsall

    IRN JGK00005

    • CF30 Customer (12 Sep 2008 to 8 May 2019)
  • Joanne Lesley Swain

    IRN JLS01212

    • SMF3 Executive Director (since 2 Jul 2025)
  • John Graham Moore

    IRN JGM01132

    • CF30 Customer (18 Aug 2008 to 20 Oct 2009)
Show more

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.