Dune Financial Planning Limited

• Principal Place of Business

  Dune Financial Planning Ltd

  4 Park Place

  Leeds

  LS1 2RU

  UNITED KINGDOM

  Phone

  +4403332427256

  Web

  https://www.dunefinancial.co.uk

• Complaints Contact

  Dune Financial Planning Ltd, 4 Park Place

  Leeds

  Leeds

  LS1 2RU

  UNITED KINGDOM

  Phone

  +4403332427256

• 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.

• 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.

• Christopher Moat

  IRN CXM01364

  • CF1 Director (20 Aug 2014 to 6 Jan 2017)
• Craig Jones

  IRN CXJ01212

  • CF1 Director (1 Jul 2013 to 29 Jul 2014)
• David Broadbent

  IRN DXB02763

  • CF1 Director (6 Jun 2017 to 14 Aug 2017)
• James Peter Mann

  IRN JPM01256

  • 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 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Nov 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)
  • Responsible for Insurance Mediation (18 Jul 2017 to 30 Sep 2018)
  • CF10 Compliance Oversight (6 Jun 2017 to 8 Dec 2019)
  • CF1 Director (6 Jun 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (6 Jun 2017 to 8 Dec 2019)
  • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
• Nicola Ann Hartley

  IRN NAH01110

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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] Functions requiring qualifications (since 1 Nov 2020)
  • [FCA CF] Client dealing (since 1 Nov 2020)
  • CF30 Customer (1 Oct 2013 to 8 Dec 2019)
• Peter Richard Watson

  IRN PRW01078

  • Responsibility for MCD Intermediation (21 Mar 2016 to 24 May 2017)
  • Responsible for Insurance Mediation (1 Jul 2013 to 24 May 2017)
  • CF1 Director (1 Jul 2013 to 24 May 2017)
  • CF10 Compliance Oversight (1 Jul 2013 to 24 May 2017)
  • CF11 Money Laundering Reporting (1 Jul 2013 to 24 May 2017)

No changes recorded yet.