EAST ANGLIAN FINANCIAL PLANNING LTD

• Principal Place of Business

  Lodge Park Business Centre, Lodge Lane

  Langham

  Colchester

  Essex

  CO4 5NE

  UNITED KINGDOM

  Phone

  +4403332072151

  Web

  https://www.eafp.co.uk

• Complaints Contact

  Lodge Park Business Centre, Lodge Lane

  Langham

  Colchester

  Essex

  CO4 5NE

  UNITED KINGDOM

  Phone

  +4403332072151

• 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

  Show 2 limitations Hide limitations

  • · 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

  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.

• 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 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

  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.

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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

  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 Joseph Johnson

  IRN AJJ01083

  • SMF3 Executive Director (since 28 Jul 2021)
  • SMF16 Compliance Oversight (1 Dec 2022 to 9 Jun 2023)
  • SMF1 Chief Executive (1 Dec 2022 to 10 Jan 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Dec 2022 to 9 Jun 2023)
• Beverley Jane Monk

  IRN BJM01224

  • SMF3 Executive Director (since 28 Jul 2021)
• Daniel Fox

  IRN DXF00163

  • [FCA CF] Functions requiring qualifications (5 Aug 2021 to 25 Apr 2022)
  • [FCA CF] Client dealing (5 Aug 2021 to 25 Apr 2022)
• David McGowan

  IRN DXM03109

  • SMF16 Compliance Oversight (21 Jan 2020 to 3 Aug 2022)
  • Responsible for Insurance Distribution (21 Jan 2020 to 3 Aug 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (21 Jan 2020 to 3 Aug 2022)
  • SMF3 Executive Director (9 Dec 2019 to 3 Aug 2022)
  • CF1 Director (7 Aug 2018 to 8 Dec 2019)
• Davina Anne Olson

  IRN DAB01216

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Dec 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 13 Dec 2022)
  • SMF3 Executive Director (9 Dec 2019 to 13 Dec 2022)
  • CF30 Customer (7 Dec 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (7 Dec 2018 to 25 Nov 2019)
  • Responsible for Insurance Distribution (7 Dec 2018 to 25 Nov 2019)
  • CF10 Compliance Oversight (7 Dec 2018 to 25 Nov 2019)
  • CF1 Director (7 Aug 2018 to 8 Dec 2019)
• Elizabeth Jane Barker

  IRN EJB01162

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 25 Apr 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 25 Apr 2022)
  • CF30 Customer (9 Nov 2018 to 8 Dec 2019)
• Gary Leonard Riches

  IRN GLR00004

  • 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
  • SMF3 Executive Director (since 23 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 13 Dec 2022)
  • [FCA CF] Client dealing (since 13 Dec 2022)
• Jacob John Blackmore

  IRN JJB01229

  • [FCA CF] Client dealing (9 Dec 2019 to 25 Apr 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 25 Apr 2022)
  • CF30 Customer (17 May 2019 to 8 Dec 2019)
• James Charles Edward Wright

  IRN JCW01221

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • SMF3 Executive Director (since 24 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 13 Dec 2022)
  • [FCA CF] Client dealing (since 13 Dec 2022)
• John Grant Buchanan

  IRN JGB01114

  • 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] Manager of certification employee (since 4 Jul 2024)
  • SMF3 Executive Director (since 2 Feb 2023)
  • [FCA CF] Client dealing (since 13 Dec 2022)
  • [FCA CF] Functions requiring qualifications (since 13 Dec 2022)

No changes recorded yet.