FINLI (FA92) LIMITED

• Principal Place of Business

  12A Duke Street

  Royal Sutton Coldfield

  B72 1RJ

  UNITED KINGDOM

  Phone

  +4403451849292

  Web

  https://www.finli.co.uk

• Complaints Contact

  12A Duke Street

  Royal Sutton Coldfield

  B72 1RJ

  UNITED KINGDOM

  Phone

  +4403451849292

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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: 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 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, Structured Deposits, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

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  • · Firm is permitted to carry on this activity in relation to first charge mortgages only

• 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

  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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

  Show 1 limitation Hide limitations

  • · Firm is permitted to carry on this activity in relation to first charge mortgages only

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management 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, Structured Deposits, 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.

• Steven Poulton

  IRN SXP01938

  • SMF16 Compliance Oversight (since 10 May 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 May 2024)
• Thomas William Purcell

  IRN TXP00104

  • [FCA CF] Material risk taker (9 Dec 2019 to 10 May 2022)
• Timothy John Mason

  IRN TJM00001

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Sep 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Sep 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Sep 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (2 Dec 2002 to 31 May 2019)
  • CF1 Director (11 Nov 2002 to 31 May 2019)
  • CF21 Investment Adviser (11 Oct 2002 to 31 Oct 2007)

No changes recorded yet.