Halwyn Capital Ltd

• Principal Place of Business

  5 South Charlotte Street

  Edinburgh

  EH2 4AN

  UNITED KINGDOM

  Phone

  +447572003291

  Web

  https://www.halwyn.com

• Complaints Contact

  5 South Charlotte Street

  Edinburgh

  EH2 4AN

  UNITED KINGDOM

  Phone

  +447572003291

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Credit Brokering

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Lisa Marie Rose

  IRN LMR01069

  • [PRA CF] Key function holder (1 Jan 2020 to 2 Jan 2020)
  • [FCA CF] Significant management (1 Jan 2020 to 31 Jan 2022)
  • SMF3 Executive Director (9 Dec 2019 to 31 Jan 2022)
  • CF1 Director (1 Aug 2019 to 8 Dec 2019)
• Philip James Rose

  IRN PJR01093

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • Responsibility for MCD Intermediation (since 25 May 2021)
  • [FCA CF] Client dealing (since 1 Jan 2020)
  • [FCA CF] Significant management (since 1 Jan 2020)
  • [FCA CF] Material risk taker (since 1 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [PRA CF] Significant risk taker or Material risk taker (1 Jan 2020 to 2 Jan 2020)
  • CF11 Money Laundering Reporting (1 Aug 2019 to 8 Dec 2019)
  • CF1 Director (1 Aug 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Aug 2019 to 8 Dec 2019)
  • CF30 Customer (1 Aug 2019 to 8 Dec 2019)

No changes recorded yet.