COMPASS INDEPENDENT FINANCIAL SERVICES LIMITED

• Principal Place of Business

  1 Doctors Road

  Blofield

  Norwich

  Norfolk

  NR13 4LF

  UNITED KINGDOM

  Phone

  +4401603717202

  Web

  https://www.compass-ifs.co.uk

• Complaints Contact

  1 Doctors Road

  Blofield

  Norwich

  Norfolk

  NR13 4LF

  UNITED KINGDOM

  Phone

  +4401603717202

• 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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  • · 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 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• 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”.

• 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.

• Jill Dawn Hughes

  IRN JDH01245

  • CF2 Non Executive Director (23 Nov 2016 to 8 Dec 2019)
• Joanna Hwei Fen Ho

  IRN JXH00758

  • [FCA CF] Client dealing (since 19 Nov 2021)
• John Rainer Hughes

  IRN JRH00051

  • 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
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
  • [FCA CF] Client dealing (since 1 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (1 Dec 2020 to 26 May 2022)
  • [FCA CF] Significant management (1 Dec 2020 to 26 May 2022)
  • CF1 Director (3 Jan 2012 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Jan 2012 to 8 Dec 2019)
  • CF30 Customer (3 Jan 2012 to 8 Dec 2019)
• Laura Jane Rathbone

  IRN LXR51276

  • [FCA CF] Client dealing (1 Dec 2020 to 14 Jan 2022)
  • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 14 Jan 2022)
• Lee Grant Disney

  IRN LGD00004

  • CF30 Customer (20 Aug 2012 to 3 Feb 2016)
• Megan Clough

  IRN MXC03245

  • [FCA CF] Manager of certification employee (since 26 May 2022)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Significant management (1 Dec 2020 to 26 May 2022)
  • [FCA CF] CASS oversight function (1 Dec 2020 to 26 May 2022)
  • Responsibility for MCD Intermediation (26 Mar 2019 to 31 Jan 2023)
  • CF10 Compliance Oversight (26 Mar 2019 to 8 Dec 2019)
  • CF1 Director (1 Sep 2016 to 8 Dec 2019)
• Michael Bulmer

  IRN MXB03672

  • [FCA CF] Functions requiring qualifications (3 Jun 2024 to 31 Dec 2025)
  • [FCA CF] Client dealing (2 Apr 2024 to 31 Dec 2025)
• Michael Graham Eagle

  IRN MGE00008

  • Responsibility for MCD Intermediation (21 Mar 2016 to 21 Jan 2019)
  • CF1 Director (3 Jan 2012 to 9 Mar 2016)
  • CF10 Compliance Oversight (3 Jan 2012 to 21 Jan 2019)
  • CF30 Customer (3 Jan 2012 to 21 Jan 2019)
  • Responsible for Insurance Mediation (3 Jan 2012 to 9 Mar 2016)
• Nyasha Makuve

  IRN NXM00121

  • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 7 May 2024)
  • [FCA CF] Client dealing (1 Dec 2020 to 7 May 2024)
• Paul Burnham

  IRN PXB01882

  • CF30 Customer (3 Jan 2012 to 14 Nov 2018)

No changes recorded yet.