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

  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.

• Emilie Lee Morrow

  IRN EXM00161

  • [FCA CF] Functions requiring qualifications (23 Feb 2021 to 28 Sep 2021)
• Fiona Jane Leonard

  IRN FJL01027

  • CF2 Non Executive Director (AR) (1 Apr 2016 to 23 Nov 2016)
• Fraser Allonby

  IRN FXA00015

  • CF30 Customer (5 Jan 2017 to 9 Sep 2020)
  • CF1 Director (AR) (5 Jan 2017 to 9 Sep 2020)
• Gary Richardson

  IRN GXR00047

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Sep 2021)
  • CF1 Director (24 Jun 2014 to 26 Sep 2017)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (24 Oct 2006 to 31 Oct 2007)
• James Kenneth Millsom

  IRN JXM00703

  • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 17 Sep 2021)
• James McGrath Dolan

  IRN JMD01117

  • CF2 Non Executive Director (10 Aug 2018 to 4 Mar 2019)
  • CF1 Director (AR) (24 Apr 2015 to 13 Aug 2018)
• James McMahon

  IRN JXM01803

  • [FCA CF] Functions requiring qualifications (30 Nov 2021 to 2 Feb 2022)
• James Sanders

  IRN JXS03360

  • [FCA CF] Functions requiring qualifications (13 Jan 2022 to 26 Apr 2024)
  • CF30 Customer (10 Oct 2021 to 26 Apr 2024)
• John David Miles

  IRN JDM00008

  • CF30 Customer (14 Apr 2015 to 21 Jun 2016)
• John Richard Mitchell

  IRN JRM01227

  • SMF3 Executive Director (9 Dec 2019 to 7 Nov 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Nov 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 7 Nov 2024)
  • CF10 Compliance Oversight (3 Nov 2015 to 8 Dec 2019)
  • CF1 Director (3 Nov 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Nov 2015 to 8 Dec 2019)

• 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.