Duchy Private Office LLP

Date authorised
1 October 2019
Companies House
OC418272
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Scottsdale House
    Springfield Avenue
    Harrogate
    North Yorkshire
    HG1 2HR
    UNITED KINGDOM

  • Complaints Contact

    Scottsdale House
    Springfield Avenue
    Harrogate
    North Yorkshire
    HG1 2HR
    UNITED KINGDOM
    Phone
    +441423637544

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Professional, Retail (Investment)

  • 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

    Show 1 limitation
    • · 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

  • Authorised to Operate

  • 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

  • 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

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Adam John Royce

    IRN AJR01216

    • SMF16 Compliance Oversight (9 Dec 2019 to 14 Apr 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Apr 2022)
    • CF11 Money Laundering Reporting (1 Oct 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2019 to 8 Dec 2019)
  • Andrew William David Kennedy

    IRN AWK01046

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (1 Oct 2019 to 8 Dec 2019)
  • Barry John Cridland

    IRN BJC01092

    • SMF16 Compliance Oversight (since 5 Aug 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Aug 2022)
  • Patrick Bernard Finnegan

    IRN PBF00001

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 31 Dec 2020)
    • [FCA CF] Client dealing (since 31 Dec 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2019)
    • CF4 Partner (1 Oct 2019 to 8 Dec 2019)
    • CF30 Customer (18 Sep 2019 to 1 Oct 2019)

Recent activity

Updates to this firm's record on the FCA register.

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