CSR Planning Limited

• Principal Place of Business

  The Old Church

  Suite 5

  St. Matthews Road

  Norwich

  Norfolk

  NR1 1SP

  UNITED KINGDOM

  Phone

  +441603859480

  Web

  https://www.goalsbased.co.uk

• Complaints Contact

  The Old Church

  Suite 5

  St. Matthews Road

  Norwich

  NR1 1SP

  UNITED KINGDOM

  Phone

  +441603859480

• 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

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  • · 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 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, 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.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• 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

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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.

• Carl Simon Rich

  IRN CSR01061

  • 11. Pension transfer specialist
  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • [FCA CF] Manager of certification employee (since 9 Dec 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF11 Money Laundering Reporting (14 Nov 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Nov 2016 to 30 Sep 2018)
  • CF1 Director (14 Nov 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (14 Nov 2016 to 8 Dec 2019)
  • CF30 Customer (14 Nov 2016 to 8 Dec 2019)
• Frances Claire Kemp

  IRN GCG01030

  • [FCA CF] Functions requiring qualifications (1 Aug 2022 to 22 Sep 2023)
  • [FCA CF] Client dealing (1 Aug 2022 to 22 Sep 2023)
  • [FCA CF] Manager of certification employee (1 Aug 2022 to 22 Sep 2023)
• James Dobney

  IRN JXD00090

  • [FCA CF] Client dealing (15 Oct 2021 to 2 Dec 2021)
  • [FCA CF] Functions requiring qualifications (15 Oct 2021 to 2 Dec 2021)
• James Joseph Softley

  IRN JXS00714

  • [FCA CF] Client dealing (4 Nov 2022 to 28 Apr 2025)
  • [FCA CF] Functions requiring qualifications (4 Nov 2022 to 28 Apr 2025)
• Stephen Mooney

  IRN SXM03150

  • [FCA CF] Client dealing (16 May 2022 to 9 Dec 2022)
  • [FCA CF] Functions requiring qualifications (16 May 2022 to 9 Dec 2022)

No changes recorded yet.