ETHICAL INVESTORS (UK) LIMITED

• Principal Place of Business

  Ethical Investments

  Formal House

  60 St. Georges Place

  Cheltenham

  Gloucestershire

  GL50 3PN

  UNITED KINGDOM

  Phone

  +4401242539848

  Web

  https://www.ethicalinvestors.co.uk

• Complaints Contact

  Ethical Investments

  Formal House

  60 St. Georges Place

  Cheltenham

  Gloucestershire

  GL50 3PN

  UNITED KINGDOM

  Phone

  +4401242539848

• 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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  • · 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• 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.

• Benjamin Garren Maggs

  IRN BGM01046

  • 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 9 May 2022)
  • [FCA CF] Client dealing (since 9 May 2022)
• Christopher Deacon

  IRN CXD00015

  • CF30 Customer (1 Nov 2007 to 21 Dec 2018)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Christopher Peter Skidmore

  IRN CPS01086

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (7 Sep 2022 to 2 Dec 2024)
  • CF30 Customer (20 Mar 2017 to 8 Dec 2019)
• Dennis James Parello

  IRN DJP00066

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2023)
  • CF30 Customer (1 Aug 2008 to 8 Dec 2019)
• Lee Vincent Coates

  IRN LVC00002

  • SMF16 Compliance Oversight (9 Dec 2019 to 14 Dec 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Dec 2020)
  • SMF3 Executive Director (9 Dec 2019 to 14 Dec 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 24 May 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 May 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 24 May 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 14 Dec 2020)
  • Responsibility for MCD Intermediation (26 Apr 2016 to 14 Dec 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Mark George Capel

  IRN MGC00025

  • CF21 Investment Adviser (1 Dec 2001 to 22 Sep 2002)
• Matthew David Ayres

  IRN MDA01064

  • CF30 Customer (14 Nov 2008 to 23 Dec 2010)
• Michael Head

  IRN MXH00047

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
  • Responsible for Insurance Distribution (since 14 Dec 2020)
  • SMF3 Executive Director (since 14 Dec 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Dec 2020)
  • SMF16 Compliance Oversight (since 14 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (16 May 2013 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Philip Adam Townsend

  IRN PAT01170

  • [FCA CF] Significant management (9 Dec 2019 to 13 Sep 2024)
  • SMF3 Executive Director (9 Dec 2019 to 2 Dec 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jun 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jun 2025)
  • CF1 Director (4 Jan 2019 to 8 Dec 2019)
  • CF30 Customer (26 May 2011 to 8 Dec 2019)

No changes recorded yet.