David Vance Consulting Ltd

• Principal Place of Business

  Suite 324-325

  Baltic Chambers

  50 Wellington Street

  Glasgow

  Lanarkshire

  G2 6HJ

  UNITED KINGDOM

  Phone

  +441412020753

  Web

  https://www.vancefm.co.uk

• Complaints Contact

  Suite 324-325

  Baltic Chambers

  50 Wellington Street

  Glasgow

  Lanarkshire

  G2 6HJ

  UNITED KINGDOM

  Phone

  +441412020753

• 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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  • · 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: 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

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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.

• 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

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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.

• Credit Score Services

• Bruce Gavin Cargill

  IRN BGC01030

  • 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 1 Oct 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Oct 2021)
• David Simon Vance

  IRN DSV01005

  • 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)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsible for Insurance Mediation (18 Jun 2018 to 30 Sep 2018)
  • CF10 Compliance Oversight (18 Jun 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (18 Jun 2018 to 8 Dec 2019)
  • CF30 Customer (18 Jun 2018 to 8 Dec 2019)
  • CF1 Director (18 Jun 2018 to 8 Dec 2019)
• Fiona Speed

  IRN FXS11186

  • [FCA CF] Functions requiring qualifications (1 Jun 2020 to 30 Sep 2021)
  • [FCA CF] Client dealing (1 Jun 2020 to 30 Sep 2021)
• James Aloysius Kane

  IRN JAK00007

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 18 May 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 18 May 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 18 May 2020)
  • CF2 Non Executive Director (14 Nov 2018 to 8 Dec 2019)

No changes recorded yet.