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.

• Karen Angela Thomas

  IRN KAT01030

  • CF21 Investment Adviser (7 Oct 2005 to 8 Sep 2006)
• Mark Richardson

  IRN MXR07584

  • [FCA CF] Functions requiring qualifications (31 Dec 2019 to 20 Jun 2024)
  • CF30 Customer (29 Oct 2018 to 20 Jun 2024)
• Mark Stewart Myhan

  IRN MSM00017

  • CF1 Director (AR) (2 Oct 2015 to 9 Jun 2018)
  • CF30 Customer (2 Oct 2015 to 9 Jun 2018)
• Oliver Kevin Banks

  IRN OKB01003

  • [FCA CF] Functions requiring qualifications (13 Jan 2022 to 1 Jul 2024)
  • CF30 Customer (22 Nov 2021 to 12 Mar 2024)
• Owen Tudor Griffiths

  IRN OTG00001

  • [FCA CF] Functions requiring qualifications (31 Dec 2019 to 2 Mar 2022)
  • CF30 Customer (2 Nov 2019 to 6 Apr 2022)
• Paul Edgar

  IRN PXE00001

  • CF30 Customer (1 Nov 2007 to 29 Mar 2013)
  • CF27 Investment Management (11 Oct 2007 to 31 Oct 2007)
• Paul Nicholas McFarlane

  IRN PNM01047

  • [FCA CF] Functions requiring qualifications (20 Jan 2020 to 7 Jun 2023)
• Peter John Medlock

  IRN PJM01557

  • CF2 Non Executive Director (AR) (21 Apr 2018 to 9 Sep 2020)
• Richard Moor

  IRN RXM00125

  • CF30 Customer (14 Jan 2011 to 1 Dec 2011)
• Robert William Barnett

  IRN RWB00017

  • CF30 Customer (16 Mar 2015 to 24 Oct 2018)

• 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.