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.

• Dien Son Richard To

  IRN DXT14632

  • CF30 Customer (15 May 2019 to 21 Aug 2019)
• Edward Thomas Wilby

  IRN ETW01005

  • [FCA CF] Client dealing (22 Sep 2020 to 26 Mar 2024)
  • [FCA CF] Functions requiring qualifications (22 Sep 2020 to 26 Mar 2024)
• Emma Clarke

  IRN EXC01285

  • [FCA CF] Client dealing (17 May 2021 to 31 Oct 2025)
  • [FCA CF] Functions requiring qualifications (17 May 2021 to 31 Oct 2025)
• Finlay Holland

  IRN FXH21689

  • [FCA CF] Client dealing (17 Feb 2021 to 14 Oct 2022)
  • [FCA CF] Functions requiring qualifications (17 Feb 2021 to 14 Oct 2022)
• Gary John Festa

  IRN GJF00001

  • CF30 Customer (24 Sep 2012 to 28 Dec 2012)
  • CF1 Director (16 Mar 2007 to 24 May 2013)
• Giles Richard John Rackham

  IRN GRR01025

  • CF21 Investment Adviser (11 Nov 2005 to 30 Dec 2005)
  • CF22 Investment Adviser (Trainee) (4 Aug 2005 to 11 Nov 2005)
• Gillian Yates

  IRN GXY00008

  • CF30 Customer (4 Mar 2019 to 11 Jun 2019)
• Gina Marie Garman-Jarratt

  IRN GXG00082

  • 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] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (20 Jun 2013 to 8 Dec 2019)
• Howard John Michael Stagg

  IRN HJS00007

  • CF30 Customer (25 Sep 2012 to 8 Dec 2019)
  • CF21 Investment Adviser (14 Jan 2005 to 30 Dec 2005)
• James Frederick Earnest Geard

  IRN JFG00018

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Mar 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 26 Mar 2024)
  • CF30 Customer (7 Sep 2012 to 8 Dec 2019)
  • CF21 Investment Adviser (14 Jan 2005 to 30 Dec 2005)

No changes recorded yet.