HDG Financial Services Ltd

• Principal Place of Business

  HDG Financial Services Ltd t/as MAC Financial

  60 Cannon Street

  London

  City Of London

  EC4N 6NP

  UNITED KINGDOM

  Phone

  +442072340789

  Web

  https://www.macfinancial.co.uk

• Complaints Contact

  H D G Financial Services Ltd, 60 Cannon Street

  London

  City Of London

  EC4N 6NP

  UNITED KINGDOM

  Phone

  +442072340789

• Pension Transfer Advice

  For Professional, 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.

• Credit Brokering

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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.

• Alison Margaret Wilson

  IRN AMW01123

  • CF30 Customer (3 Apr 2017 to 4 Apr 2017)
• Christopher George

  IRN CXG00011

  • 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 8 Mar 2021)
  • [FCA CF] Significant management (since 8 Mar 2021)
  • [FCA CF] Client dealing (since 8 Mar 2021)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] CASS oversight function (8 Mar 2021 to 20 Apr 2021)
  • [FCA CF] Manager of certification employee (8 Mar 2021 to 20 Apr 2021)
  • [FCA CF] Material risk taker (8 Mar 2021 to 20 Apr 2021)
  • Responsible for Insurance Mediation (3 Apr 2017 to 30 Sep 2018)
  • CF30 Customer (3 Apr 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Apr 2017 to 8 Dec 2019)
  • CF1 Director (3 Apr 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Apr 2017 to 8 Dec 2019)
• Lisa Jayne Evans

  IRN LJE01044

  • CF30 Customer (10 Apr 2017 to 13 Jul 2017)
• Paul Raymond Rose

  IRN PRR00013

  • CF30 Customer (3 Apr 2017 to 8 May 2017)
• Richard Coomber

  IRN RXC00659

  • 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 30 Jun 2023)
  • [FCA CF] Client dealing (since 30 Jun 2023)

No changes recorded yet.