Consistent Unit Trust Management Company Limited

• Principal Place of Business

  81 High Street

  Nash

  Milton Keynes

  Buckinghamshire

  MK17 0EP

  UNITED KINGDOM

  Phone

  +4407554996424

  Web

  https://consistentunittrust.co.uk

• Complaints Contact

  81 High Street

  Nash

  Milton Keynes

  Buckinghamshire

  MK17 0EP

  UNITED KINGDOM

  Phone

  +4407554996424

• 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 7 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to authorised unit trust scheme share exchange activities and in carrying on such activities to the specified investments listed other than all contractually based investments.
  • · Limited to authorised unit trust scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to authorised unit trust operations and in carrying on these operations, to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer type "retail client".
  • · Limited to authorised unit trust scheme operations and in carrying on such activities to the specified investments listed other than "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "commodity future", "life policy", "funeral plan contract", and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments), for the customer type "retail client".
  • · The specified investments "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)" and "rights to or interests in investment - contractually based investments", (when the latter is associated with this specified investment), are limited to Efficient Portfolio Management activities and the customer type "retail client".

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Stockbroking

  For Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to authorised unit trust operations and in carrying on these operations, to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer type "retail client".
  • · Limited to authorised unit trust scheme operations and in carrying on such activities to the specified investments listed other than "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "commodity future", "life policy", "funeral plan contract", and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments), for the customer type "retail client".
  • · The specified investments "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)" and "rights to or interests in investment - contractually based investments", (when the latter is associated with this specified investment), are limited to Efficient Portfolio Management activities and the customer type "retail client".

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Unit

  Show 2 limitations Hide limitations

  • · Limited to authorised unit trust box management operations and in carrying on such activities to the specified investments "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to authorised unit trust scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to authorised unit trust operations and in carrying on these operations, to the specified investments listed other than "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment), for the customer type "retail client".
  • · Limited to authorised unit trust scheme operations and in carrying on such activities to the specified investments listed other than "option (excluding a commodity option and an option on commodity futures)", "commodity option and option on commodity futures", "future (excluding a commodity future and a rolling spot forex contract)", "commodity future", "life policy", "funeral plan contract", and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments), for the customer type "retail client".
  • · The specified investments "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)" and "rights to or interests in investment - contractually based investments", (when the latter is associated with this specified investment), are limited to Efficient Portfolio Management activities and the customer type "retail client".

• Retail Investment Funds

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Andrew Keith Watkins

  IRN AKW01019

  • Director of firm who is not a certification employee or a SMF manager (since 10 Dec 2019)
  • CF2 Non Executive Director (14 May 2019 to 8 Dec 2019)
• Christopher John Lloyd

  IRN CJL01074

  • Director of firm who is not a certification employee or a SMF manager (since 10 Dec 2019)
  • CF2 Non Executive Director (27 Feb 2019 to 8 Dec 2019)
• Gerald William Ashfield

  IRN GWL01024

  • CF2 Non Executive Director (1 Dec 2001 to 11 Sep 2009)
• Jay Patel

  IRN JXP02221

  • CF30 Customer (27 Feb 2018 to 8 Dec 2019)
• Jennifer Mary Willis

  IRN JMS01229

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
• Nicholas John William Pritchard

  IRN NJP01169

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 1 Mar 2021)
  • CF30 Customer (27 Feb 2018 to 8 Dec 2019)
• Philip John Christopher Ashfield

  IRN PJA01053

  • CF1 Director (1 Dec 2001 to 27 Sep 2018)
• Sean Philip Ashfield

  IRN SPA01025

  • SMF9 Chair of the Governing Body (since 12 Mar 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (16 May 2008 to 8 Dec 2019)
  • CF30 Customer (16 May 2008 to 8 Dec 2019)
  • CF2 Non Executive Director (9 May 2005 to 28 Apr 2008)
• Tamsin Dawn Willis

  IRN TDW01059

  • CF10a CASS Oversight function (1 Jan 2017 to 8 Dec 2019)
• Timothy Croad Cornick

  IRN TXC00493

  • Director of firm who is not a certification employee or a SMF manager (since 10 Dec 2019)

No changes recorded yet.