FACET INVESTMENT MANAGEMENT LTD

• Principal Place of Business

  c/o Ian Goodhew and Abigail Shearing

  both of Voscap Limited

  67 Grosvenor Street

  Mayfair

  London

  W1K 3JN

  UNITED KINGDOM

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · 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, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Stockbroking

  For Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Alexander David Young

  IRN ADY00005

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 31 Dec 2019)
  • CF30 Customer (9 Jan 2014 to 8 Dec 2019)
  • CF21 Investment Adviser (29 Nov 2004 to 31 Oct 2007)
• Alexander George Dunn

  IRN AGD01062

  • CF30 Customer (28 Sep 2017 to 9 Sep 2020)
• Ben Molineux

  IRN BXM01823

  • CF30 Customer (1 Feb 2018 to 9 Sep 2020)
• Benjamin Bidnell

  IRN BXB01762

  • CF2 Non Executive Director (AR) (24 May 2017 to 9 Sep 2020)
• Charles Alexander Mcswiggan

  IRN CXM00479

  • [FCA CF] Functions requiring qualifications (4 May 2022 to 25 Jul 2024)
• Christian Patrick Holland

  IRN CPH01034

  • SMF3 Executive Director (9 Dec 2019 to 3 Sep 2021)
  • CF1 Director (1 Sep 2017 to 8 Dec 2019)
  • CF30 Customer (1 Sep 2017 to 8 Dec 2019)
• Christopher Alan Evans

  IRN CAE01064

  • Director of firm who is not a certification employee or a SMF manager (18 May 2022 to 7 Nov 2024)
  • CF2 Non Executive Director (19 Jan 2018 to 8 Dec 2019)
• Christopher Alan Fernyhough

  IRN CAF01065

  • SMF3 Executive Director (9 Dec 2019 to 28 Mar 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 Mar 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Mar 2024)
  • CF11 Money Laundering Reporting (16 May 2014 to 4 Nov 2015)
  • CF10 Compliance Oversight (16 May 2014 to 4 Nov 2015)
  • CF1 Director (15 Jan 2014 to 8 Dec 2019)
  • CF30 Customer (6 Nov 2013 to 8 Dec 2019)
• David Christopher Cook

  IRN DCC00004

  • CF30 Customer (15 Apr 2015 to 21 Jun 2016)
• Elizabeth Toop

  IRN EAY00001

  • CF30 Customer (1 Nov 2007 to 17 Dec 2013)
  • Responsible for Insurance Mediation (14 Jan 2005 to 17 Dec 2013)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF1 Director (1 Dec 2001 to 17 Dec 2013)
  • CF10 Compliance Oversight (1 Dec 2001 to 17 Dec 2013)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 17 Dec 2013)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)

• Berkeley Financial Partners Ltd

  FRN 654149 · Appointed 13 Nov 2014

• Allonby + Partners Ltd (no longer appointed)

  FRN 768229 · Appointed 28 Dec 2016 · Until 9 Sep 2020

• AFM MANAGEMENT LIMITED (no longer appointed)

  FRN 625128 · Appointed 8 Sep 2015 · Until 25 Jun 2024

No changes recorded yet.