HBOS Investment Fund Managers Limited

Watch for changes

Addresses

The contact details this firm has registered with the FCA.

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

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

Richard Christopher Roberts
IRN RCR00021
- (1421)CF21 Investment Adviser (1 Dec 2001 to 5 Jun 2003)
Richard Frank Whewell
IRN RFW00024
- (620)CF22 Investment Adviser (Trainee) (20 Jan 2003 to 5 Jun 2003)
Richard Garland Spickernell
IRN RGS00012
- (765)CF21 Investment Adviser (1 Dec 2001 to 5 Jun 2003)
Richard George Myers
IRN RXM01403
- (550)CF1 Director (1 Dec 2001 to 23 Oct 2003)
- (549)CF1 Director (AR) (1 Dec 2001 to 1 Jan 2003)
Richard Graham Thurley
IRN RGT00038
- (23)CF21 Investment Adviser (24 Sep 2002 to 5 Jun 2003)
Richard Harris
IRN RXH00132
- (1390)CF21 Investment Adviser (24 Sep 2002 to 5 Jun 2003)
Richard Herbert Roberts
IRN RHR00002
- (245)CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2001)
Richard James Chalker
IRN RJC00081
- (241)CF21 Investment Adviser (24 Sep 2002 to 5 Jun 2003)
Richard James Vere Turner
IRN RJT00014
- (512)CF21 Investment Adviser (1 Dec 2001 to 5 Jun 2003)
Richard John Donovan
IRN RJD01131
- (1060)CF21 Investment Adviser (24 Sep 2002 to 5 Jun 2003)

Smaller firms operating under this firm's FCA authorisation.

Halifax Equitable Limited (no longer appointed)
FRN 195539 · Appointed 9 Apr 2001 · Until 10 Nov 2004
Halifax Estate Agencies Limited (no longer appointed)
FRN 169627 · Appointed 2 Feb 1987 · Until 26 May 2004
Halifax Financial Services Limited (no longer appointed)
FRN 169626 · Appointed 2 Feb 1987 · Until 29 Apr 2003
Halifax Plc (no longer appointed)
FRN 106048 · Appointed 31 Jan 1928 · Until 1 Dec 2001

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

6 hours ago
controlled function added: (4)[FCA CF] Material risk taker
6 hours ago
controlled function added: (3)[FCA CF] Client dealing
6 hours ago
controlled function added: (2)[PRA CF] Significant risk taker or Material risk taker
6 hours ago
controlled function added: (1)[FCA CF] CASS oversight function
6 hours ago
controlled function added: (1834)CF10 Compliance Oversight
6 hours ago
controlled function added: (1833)CF11 Money Laundering Reporting
6 hours ago
controlled function added: (1832)CF14 Risk Assessment
6 hours ago
controlled function added: (1831)CF10 Compliance Oversight
6 hours ago
controlled function added: (1830)CF11 Money Laundering Reporting
6 hours ago
controlled function added: (1829)SMF16 Compliance Oversight

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.