Frederick Walters

• Principal Place of Business

  5 Lumb Cottages

  Ramsbottom

  Bury

  Lancashire

  BL0 0QS

  UNITED KINGDOM

  Phone

  +441706824126

  Web

  https://ifgservices.co.uk

• Complaints Contact

  5 Lumb Cottages

  Ramsbottom

  Bury

  Lancashire

  BL0 0QS

  UNITED KINGDOM

  Phone

  +441706824126

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, 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

• 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, 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.

• Frederick Thomas Walters

  IRN FTW01007

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 9A. Advising on P2P agreements
  • [FCA CF] Significant management (since 1 Jan 2020)
  • [FCA CF] Benchmark submission and administration (since 1 Jan 2020)
  • [FCA CF] CASS oversight function (since 1 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
  • [FCA CF] Manager of certification employee (since 1 Jan 2020)
  • [FCA CF] Proprietary trader (since 1 Jan 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (19 Jan 2016 to 8 Dec 2019)
  • CF30 Customer (19 Jan 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (19 Jan 2016 to 8 Dec 2019)

No changes recorded yet.