Forth Capital Advisers Limited

• Principal Place of Business

  Spaces Lochrin Square

  1 Lochrin Square

  92-98 Fountainbridge

  Edinburgh

  EH3 9QA

  UNITED KINGDOM

  Phone

  +441316000623

  Web

  http://www.forthcapital.com

• Complaints Contact

  Spaces Lochrin Square

  1 Lochrin Square

  92-98 Fountainbridge

  Edinburgh

  EH3 9QA

  UNITED KINGDOM

  Phone

  +441316000623

• 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.

• 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.

• 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.

• Adam John Royce

  IRN AJR01216

  • CF11 Money Laundering Reporting (25 Feb 2019 to 16 Oct 2019)
  • CF10 Compliance Oversight (25 Feb 2019 to 16 Oct 2019)
• Audrey Elizabeth Flynn

  IRN AXF00048

  • [FCA CF] Client dealing (6 Jun 2023 to 30 Apr 2024)
  • [FCA CF] Functions requiring qualifications (15 May 2020 to 30 Apr 2024)
• Beverley Riddell

  IRN BXR01263

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Aug 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 18 Aug 2020)
  • CF10 Compliance Oversight (9 Oct 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (9 Oct 2019 to 8 Dec 2019)
  • CF30 Customer (30 Apr 2019 to 8 Dec 2019)
• Claire Taylor

  IRN CXL77607

  • [FCA CF] Functions requiring qualifications (2 Sep 2024 to 30 Apr 2025)
• Darren Graham McMillan

  IRN DXM00506

  • [FCA CF] Functions requiring qualifications (18 May 2021 to 17 Sep 2021)
• David John Rosbotham

  IRN DXR00059

  • [FCA CF] Functions requiring qualifications (1 Jun 2020 to 19 Feb 2021)
• Dominic Charles Hamilton

  IRN DXH00312

  • [FCA CF] Functions requiring qualifications (13 Jun 2022 to 25 Apr 2023)
• JOHN POULTER

  IRN JXP02034

  • CF30 Customer (27 Mar 2019 to 31 Oct 2019)
• James Alexander Stirling

  IRN JAS01538

  • [FCA CF] Functions requiring qualifications (1 Sep 2020 to 31 Aug 2021)
• James Arnold Graham Brown

  IRN JAB01398

  • [FCA CF] Functions requiring qualifications (1 Aug 2023 to 1 Dec 2024)
  • [FCA CF] Manager of certification employee (1 Aug 2023 to 1 Dec 2024)
  • [FCA CF] Significant management (1 Aug 2023 to 1 Dec 2024)
  • [FCA CF] Client dealing (1 Aug 2023 to 1 Dec 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (18 Nov 2020 to 24 Jul 2024)
  • SMF16 Compliance Oversight (18 Nov 2020 to 24 Jul 2024)
  • SMF3 Executive Director (9 Dec 2019 to 25 Nov 2024)
  • SMF1 Chief Executive (9 Dec 2019 to 24 Jul 2024)
  • CF1 Director (25 Feb 2019 to 8 Dec 2019)
  • CF3 Chief Executive (25 Feb 2019 to 8 Dec 2019)
  • CF30 Customer (25 Feb 2019 to 8 Dec 2019)
  • Responsible for Insurance Distribution (25 Feb 2019 to 24 Jul 2024)

No changes recorded yet.