Compass Financial Management LLP

• Principal Place of Business

  24 Hockerill Court

  London Road

  Bishop's Stortford

  Herts

  CM23 5SB

  UNITED KINGDOM

  Phone

  +4401279260049

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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

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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.
  • · 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 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 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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.

• Insurance Admin

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

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts, Structured Deposits

• 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.

• Barry Parnham Lymn

  IRN BPL00001

  • CF30 Customer (23 Jul 2010 to 16 Dec 2011)
• David Brian Thornton

  IRN DBT00001

  • 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)
  • 9A. Advising on P2P agreements
  • Responsible for Insurance Distribution (since 16 Jun 2023)
  • SMF16 Compliance Oversight (since 3 Feb 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 3 Feb 2023)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF4 Partner (23 Jul 2010 to 8 Dec 2019)
  • CF30 Customer (23 Jul 2010 to 8 Dec 2019)
• David Malcolm Dye

  IRN DMD00008

  • CF30 Customer (23 Jul 2010 to 18 Dec 2012)
• David Roberts

  IRN DXR01710

  • CF30 Customer (18 Mar 2013 to 21 May 2013)
• James Nicholas Johnson

  IRN JNJ00002

  • CF30 Customer (18 Jul 2012 to 6 Aug 2019)
• Janet Elizabeth Quinton

  IRN JEQ01008

  • [FCA CF] Client dealing (9 Dec 2019 to 3 Dec 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Dec 2021)
  • CF30 Customer (11 Mar 2019 to 8 Dec 2019)
• Julia Frances Magnay

  IRN JXC02315

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2010 to 8 Dec 2019)
• Lindsay Christina Loxley

  IRN LCL00003

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 10 Feb 2023)
  • SMF27 Partner (9 Dec 2019 to 10 Feb 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 10 Feb 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Feb 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 10 Feb 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 10 Feb 2023)
  • CF30 Customer (23 Jul 2010 to 8 Dec 2019)
  • Responsible for Insurance Mediation (23 Jul 2010 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (23 Jul 2010 to 8 Dec 2019)
  • CF10 Compliance Oversight (23 Jul 2010 to 8 Dec 2019)
  • CF4 Partner (23 Jul 2010 to 8 Dec 2019)
• Michael Christopher Walsh

  IRN MCW00012

  • CF30 Customer (11 Jan 2016 to 8 Sep 2017)
• Paul Nicholas Richardson

  IRN PNR01040

  • CF30 Customer (16 Jan 2012 to 1 Oct 2012)

No changes recorded yet.