FRASER SPY FINANCIAL SERVICES LIMITED

• Principal Place of Business

  Fraser Spy Financial Services Ltd

  180 Hope Street

  Glasgow

  Glasgow City

  G2 2UE

  UNITED KINGDOM

  Phone

  +4401413330432

  Web

  https://www.fraserspy.co.uk

• Complaints Contact

  Fraser Spy Financial Services Ltd

  180 Hope Street

  Glasgow

  G2 2UE

  UNITED KINGDOM

  Phone

  +4401413330432

• 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

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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.

• 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

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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.

• Debt Advice

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  • · Limited to debt counselling which is provided in connection with investment advice
  • · This permission is limited to debt counselling with no debt management 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

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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.

• Bryce Alexander Niven

  IRN BAN00008

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 6 Feb 2024)
  • [FCA CF] Functions requiring qualifications (since 6 Feb 2024)
• Chloe Olivia Spy

  IRN CXS01016

  • 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)
  • [FCA CF] Client dealing (since 2 Jun 2025)
  • [FCA CF] Functions requiring qualifications (since 2 Jun 2025)
• David Harry Traquair

  IRN DHT00009

  • CF30 Customer (1 Nov 2007 to 30 Jun 2018)
  • CF1 Director (AR) (8 Sep 2006 to 30 Jun 2018)
  • CF21 Investment Adviser (2 Jun 2005 to 31 Oct 2007)
• Derek John Fraser

  IRN DJF00001

  • CF1 Director (7 Sep 2012 to 20 Nov 2012)
  • CF30 Customer (1 Nov 2007 to 16 Jun 2011)
  • Responsible for Insurance Mediation (14 Jan 2005 to 6 Oct 2009)
  • CF10 Compliance Oversight (1 Dec 2001 to 6 Oct 2009)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Nov 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 6 Oct 2009)
• Gordon William Spy

  IRN GWS00001

  • 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)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (since 1 Nov 2007)
  • CF1 Director (AR) (since 10 Oct 2005)
  • CF11 Money Laundering Reporting (6 Oct 2009 to 8 Dec 2019)
  • CF10 Compliance Oversight (6 Oct 2009 to 8 Dec 2019)
  • Responsible for Insurance Mediation (6 Oct 2009 to 30 Sep 2018)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Jennifer Phillips McCulloch

  IRN JPM01349

  • CF30 Customer (29 Jan 2013 to 4 Jul 2016)
• Lorna Ann Campbell

  IRN LAC01125

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Nov 2023)
  • CF30 Customer (9 Mar 2017 to 8 Dec 2019)
• Pamela Simonis

  IRN PXS00182

  • [FCA CF] Client dealing (4 Oct 2022 to 30 Nov 2023)
  • [FCA CF] Functions requiring qualifications (4 Oct 2022 to 30 Nov 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Nov 2023)
• William James Wright

  IRN WJW00002

  • CF30 Customer (2 Sep 2010 to 20 Nov 2012)

• Traquair Financial Services Ltd

  FRN 437406 · Appointed 11 Aug 2005

No changes recorded yet.