Financial Guaranty UK Limited

• Principal Place of Business

  Forvis Mazars LLP

  30 Old Bailey

  London

  City Of London

  EC4M 7AU

  UNITED KINGDOM

  Phone

  +4402070634000

  Web

  http://www.financialguarantyuk.com

• Complaints Contact

  Forvis Mazars LLP

  30 Old Bailey

  London

  City Of London

  EC4M 7AU

  UNITED KINGDOM

  Phone

  +4402070634000

• Bank Deposits

  For Eligible Counterparty, Professional, Deposit

  Show 1 limitation Hide limitations

  • · Limited to accepting deposits in the course of carrying on insurance business for which the firm holds a permission.

• P2P Lending Advice

  For Commercial, Retail (Non-Investment Insurance)

• Investment Advice (no pensions)

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

• Authorised to Operate

  For All

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

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

• Manages Insurance Policies

  For Eligible Counterparty, Professional, Credit, Miscellaneous financial loss, Suretyship

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit

  Show 2 limitations Hide limitations

  • · The firm, in carrying out this regulated activity, is limited to entering into transactions in a manner which, if the firm was an unauthorised person, would come within article 16 of the RAO.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

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

• Frank Joseph Bivona

  IRN FJB01029

  • CF1 Director (26 Nov 2004 to 11 Dec 2008)
• George David Wilkinson

  IRN GXW00248

  • SMF16 Compliance Oversight (4 Apr 2022 to 1 May 2025)
• Glenn Fox

  IRN GMF01026

  • CF29 Significant management (1 Nov 2007 to 31 Oct 2008)
  • CF18 Significant Mgt (Insurance Underwriting) (17 Apr 2007 to 31 Oct 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (19 Apr 2006 to 17 Apr 2007)
• Howard Carl Pfeffer

  IRN HCP01012

  • CF1 Director (26 Nov 2004 to 19 Feb 2008)
• Iain Rawdon Barbour

  IRN IRB01024

  • SMF14 Senior Independent Director (since 22 Jul 2022)
• John Francis Donohoe

  IRN JFD01065

  • CF29 Significant management (26 Oct 2009 to 26 Jul 2012)
• John Stephen Dubel

  IRN JSD01108

  • CF1 Director (23 Jan 2009 to 16 Dec 2013)
• Kenneth Edward Randall

  IRN KER01006

  • SMF11 Chair of the Audit Committee (since 25 Jan 2021)
  • SMF9 Chair of the Governing Body (since 25 Jan 2021)
• Mathias Manfred Pulster

  IRN MMP01024

  • CF28 Systems and controls (1 Nov 2007 to 28 Jan 2008)
  • CF14 Risk Assessment (21 Dec 2005 to 31 Oct 2007)
• Michael Clipson Haines

  IRN MCH01135

  • SIMF5 Head of Internal Audit Function (7 Mar 2016 to 31 Mar 2018)
  • SIMF2 Chief Finance Function (7 Mar 2016 to 31 Mar 2018)
  • CF28 Systems and controls (20 Mar 2013 to 6 Mar 2016)

No changes recorded yet.