Hartley Pensions Limited

Date authorised
14 November 2016
Companies House
09469576
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    UHY Hacker Young LLP
    4 Thomas More Square
    London
    E1W 1YW
    UNITED KINGDOM

  • Complaints Contact

    UHY Hacker Young LLP
    4 Thomas More Square
    London
    E1W 1YW
    UNITED KINGDOM

What this firm is allowed to do

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

  • Authorised to Operate

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

  • Arranges Investments

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

    Show 3 limitations
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · 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.

  • Arranges Asset Safekeeping

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, 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, Unit, Warrant

    Show 3 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.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Trades With You Directly

    For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Security)

    Show 2 limitations
    • · The firm is limited to dealing as a principal in investments, arranging (bringing about deals) in investments and making arrangements in investments in the rights under the scheme(s) that it operates
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Runs Personal Pensions

    For Professional, Retail (Investment), Personal pension scheme

    Show 1 limitation
    • · 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 Setup

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

    Show 3 limitations
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · 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.

Approved individuals

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

  • Andrew Timothy Pladgeman

    IRN ATP01040

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 26 Oct 2021)
    • CF10 Compliance Oversight (8 Dec 2017 to 4 Dec 2019)
    • CF11 Money Laundering Reporting (8 Dec 2017 to 8 Dec 2019)
    • CF1 Director (9 Aug 2017 to 4 Dec 2019)
  • Denis Thomas McHugh

    IRN DTM01069

    • SMF1 Chief Executive (9 Dec 2019 to 20 Apr 2022)
    • SMF3 Executive Director (9 Dec 2019 to 20 Apr 2022)
    • CF3 Chief Executive (14 Nov 2016 to 8 Dec 2019)
    • CF1 Director (14 Nov 2016 to 8 Dec 2019)
  • Kris Geoffrey Bryant

    IRN KGB01037

    • CF11 Money Laundering Reporting (14 Nov 2016 to 11 Dec 2017)
    • CF10 Compliance Oversight (14 Nov 2016 to 11 Dec 2017)
  • Michael Anthony David Flanagan

    IRN MAF01113

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (14 Nov 2016 to 8 Dec 2019)
  • Michael Baber

    IRN MXB02406

    • SMF3 Executive Director (9 Dec 2019 to 26 Oct 2021)
    • CF1 Director (2 Aug 2017 to 8 Dec 2019)
  • Nicole Hewson

    IRN NXH01219

    • SMF17 Money Laundering Reporting Officer (MLRO) (13 Sep 2021 to 16 Nov 2022)
    • SMF16 Compliance Oversight (13 Sep 2021 to 16 Nov 2022)

Recent activity

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

No changes recorded yet.