FISHER BROWN FINANCIAL SERVICES LIMITED

• Principal Place of Business

  30 Lucastes Lane

  Haywards Heath

  West Sussex

  RH16 1LF

  UNITED KINGDOM

  Phone

  +447946843937

• Complaints Contact

  30 Lucastes Lane

  Haywards Heath

  West Sussex

  RH16 1LF

  UNITED KINGDOM

  Phone

  +447946843937

• 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

  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.

• 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

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

• 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.

• Nicholas Jonathan Knight

  IRN NJK00003

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
• Trevor Malcolm Fisher

  IRN TMF00015

  • 9A. Advising on P2P agreements
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [PRA CF] Significant risk taker or Material risk taker (since 2 Mar 2021)
  • Appointed representative dealing with clients for which they require qualification (since 2 Mar 2021)
  • [FCA CF] Algorithmic trading (since 2 Mar 2021)
  • [FCA CF] Benchmark submission and administration (since 2 Mar 2021)
  • [FCA CF] CASS oversight function (since 2 Mar 2021)
  • [FCA CF] Client dealing (since 2 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 2 Mar 2021)
  • [FCA CF] Manager of certification employee (since 2 Mar 2021)
  • [FCA CF] Material risk taker (since 2 Mar 2021)
  • [FCA CF] Proprietary trader (since 2 Mar 2021)
  • [FCA CF] Significant management (since 2 Mar 2021)
  • [PRA CF] Key function holder (since 2 Mar 2021)
  • [PRA CF] Managing a material risk taker (since 2 Mar 2021)
  • Director of firm who is not a certification employee or a SMF manager (since 2 Mar 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 12 Dec 2016)
  • CF1 Director (1 Jul 2015 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Jul 2015 to 30 Sep 2018)
  • CF30 Customer (1 Jul 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Jul 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Jul 2015 to 8 Dec 2019)

No changes recorded yet.