HFMC Asset Management Limited

• Principal Place of Business

  29 St. John's Lane

  Clerkenwell

  London

  EC1M 4NA

  UNITED KINGDOM

  Phone

  +4402074004700

  Web

  https://www.hfmcam.com

• Complaints Contact

  29 St. John's Lane

  Clerkenwell

  London

  EC1M 4NA

  UNITED KINGDOM

  Phone

  +4402074004700

• 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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  • · 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.
  • · 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 Advice (no pensions)

  For 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 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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, 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, 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

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  • · Limited to not brokering credit for the purpose of increasing the funds available for investment.

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.

• Debt Advice

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  • · Limited to debt counselling which is provided in connection with investment advice.
  • · This permission is limited to debt counselling with no debt management activity

• Investment Setup

  For 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.

• Amaraj Flora

  IRN AXF00650

  • [FCA CF] Functions requiring qualifications (28 Nov 2025 to 1 Dec 2025)
  • [FCA CF] Client dealing (28 Nov 2025 to 1 Dec 2025)
• Caroline Emma Richmond

  IRN CER01044

  • [FCA CF] Functions requiring qualifications (27 Mar 2020 to 26 Feb 2021)
• Caroline Tonya Maxwell

  IRN CTL01015

  • [FCA CF] Client dealing (9 Dec 2019 to 26 Mar 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Mar 2024)
  • CF30 Customer (12 Oct 2012 to 8 Dec 2019)
• Charles Christopher Walker

  IRN CCW00007

  • CF30 Customer (1 Oct 2012 to 31 Dec 2014)
  • CF24 Pension Transfer Specialist (16 Dec 2004 to 15 Dec 2006)
  • CF1 Director (25 Oct 2004 to 22 Aug 2014)
  • CF3 Chief Executive (25 Oct 2004 to 22 Aug 2014)
  • CF21 Investment Adviser (25 Oct 2004 to 15 Dec 2006)
• Christopher John Wade

  IRN CXW00324

  • [FCA CF] Client dealing (27 May 2021 to 26 Mar 2024)
  • [FCA CF] Functions requiring qualifications (27 May 2021 to 26 Mar 2024)
• David Cummins

  IRN DXC00058

  • CF22 Investment Adviser (Trainee) (30 Nov 2005 to 30 Dec 2005)
• David Frederick Jeffs

  IRN DFJ01013

  • CF30 Customer (15 Oct 2012 to 17 Apr 2013)
• David Joseph Verney

  IRN DJV00002

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2023)
• David Leonard Andrews

  IRN DLA00004

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Mar 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 26 Mar 2024)
  • CF10 Compliance Oversight (9 Jun 2014 to 27 Jul 2016)
  • CF30 Customer (14 Sep 2012 to 8 Dec 2019)
• Dermot McSweeney

  IRN DXM00178

  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Mar 2021)

No changes recorded yet.