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.

• Mark Creed

  IRN MXC01758

  • [FCA CF] Functions requiring qualifications (21 Feb 2020 to 26 Mar 2024)
  • [FCA CF] Client dealing (21 Feb 2020 to 26 Mar 2024)
• Mark Ellis Waller

  IRN MEW01089

  • Responsible for Insurance Distribution (since 21 Dec 2021)
  • SMF3 Executive Director (since 24 Jun 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (27 Jul 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (27 Jul 2016 to 8 Dec 2019)
• Mark James Morris

  IRN MJM01299

  • [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 (27 Nov 2014 to 8 Dec 2019)
• Mark Peter Ruse

  IRN MPR00009

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2023)
• Martin Geoffrey Baron

  IRN MGB00007

  • CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2003)
  • CF10 Compliance Oversight (1 Dec 2001 to 30 Dec 2003)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 30 Dec 2003)
  • CF1 Director (1 Dec 2001 to 30 Sep 2004)
• Meryl Elizabeth Carlton

  IRN MEC00011

  • CF21 Investment Adviser (17 Jan 2005 to 30 Dec 2005)
• Michael James Barber

  IRN MJB00080

  • CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2003)
• Michael James Powell

  IRN MJP00051

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

  IRN NGR00001

  • [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 (26 Nov 2014 to 8 Dec 2019)
• Paul Grahame Addison

  IRN PGA00014

  • [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 (14 Sep 2012 to 8 Dec 2019)

No changes recorded yet.