Golden Gate IFA Ltd

• Principal Place of Business

  Hedge House

  Horsepool

  Bromham

  Chippenham

  Wiltshire

  SN15 2HD

  UNITED KINGDOM

  Phone

  +4401225793417

  Web

  https://www.goldengateifa.co.uk

• Complaints Contact

  PO Box 4115

  Chippenham

  Wiltshire

  SN15 9JE

  UNITED KINGDOM

  Phone

  +441225793417

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Credit Brokering

• Debt Advice

• 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.

• Timothy David House

  IRN TDH00010

  • 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] Functions requiring qualifications (since 13 Jan 2021)
  • [FCA CF] Client dealing (since 13 Jan 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] Significant management (13 Jan 2021 to 5 Jan 2022)
  • [PRA CF] Key function holder (13 Jan 2021 to 5 Jan 2022)
  • [PRA CF] Managing a material risk taker (13 Jan 2021 to 5 Jan 2022)
  • [FCA CF] Material risk taker (13 Jan 2021 to 5 Jan 2022)
  • [FCA CF] CASS oversight function (13 Jan 2021 to 5 Jan 2022)
  • [FCA CF] Manager of certification employee (13 Jan 2021 to 5 Jan 2022)
  • [FCA CF] Proprietary trader (13 Jan 2021 to 5 Jan 2022)
  • [PRA CF] Significant risk taker or Material risk taker (13 Jan 2021 to 5 Jan 2022)
  • [FCA CF] Benchmark submission and administration (13 Jan 2021 to 5 Jan 2022)
  • Responsibility for MCD Intermediation (23 Apr 2016 to 31 Jan 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (18 Aug 2004 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (18 Aug 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (18 Aug 2004 to 31 Mar 2009)
  • CF1 Director (18 Aug 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (18 Aug 2004 to 31 Oct 2007)

No changes recorded yet.