Graham Shaw

Date authorised
1 April 2013
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    4 Manor Farm
    Chard
    Somerset
    TA20 2EB
    UNITED KINGDOM
    Phone
    +447977117352

  • Complaints Contact

    4 Manor Farm
    Chard
    Somerset
    TA20 2EB
    UNITED KINGDOM
    Phone
    +447977117352

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Buy-to-Let Mortgage Advice

  • P2P Lending Advice

    For Retail (Non-Investment Insurance)

  • Investment Advice (no pensions)

    For Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Retail (Non-Investment Insurance), Non-investment insurance contracts

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Graham Michael Shaw

    IRN GMS00018

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Proprietary trader (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (8 Dec 2010 to 8 Dec 2019)
    • CF30 Customer (8 Dec 2010 to 30 Dec 2012)
    • CF10 Compliance Oversight (8 Dec 2010 to 8 Dec 2019)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.