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.

• Paul Robert Jones

  IRN PRJ00009

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
• Paul Short

  IRN PRS01089

  • [FCA CF] Client dealing (8 Feb 2021 to 7 Oct 2024)
  • [FCA CF] Functions requiring qualifications (8 Feb 2021 to 7 Oct 2024)
• Philip Charles Chandler

  IRN PCC00028

  • [FCA CF] Client dealing (27 Feb 2020 to 27 Mar 2024)
  • [FCA CF] Functions requiring qualifications (27 Feb 2020 to 27 Mar 2024)
• Philip John Clark

  IRN PJC00108

  • CF21 Investment Adviser (3 Jan 2002 to 4 Jul 2003)
  • CF7 Sole Trader (3 Jan 2002 to 4 Jul 2003)
• Philip Kingscott

  IRN PXK00011

  • [FCA CF] Client dealing (20 Feb 2020 to 26 Mar 2024)
  • [FCA CF] Functions requiring qualifications (20 Feb 2020 to 26 Mar 2024)
• Philip Martin Jelly

  IRN PMJ01068

  • [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 (9 Oct 2012 to 8 Dec 2019)
• Philip Richard Patient

  IRN PRP00022

  • SMF16 Compliance Oversight (since 4 Feb 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Feb 2026)
  • SMF16 Compliance Oversight (26 Feb 2024 to 12 Apr 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (26 Feb 2024 to 12 Apr 2024)
  • SMF3 Executive Director (16 Nov 2020 to 20 Dec 2021)
  • [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 (16 Aug 2019 to 8 Dec 2019)
• Robert Arthur Pemberton

  IRN RAP01096

  • [FCA CF] Client dealing (9 Dec 2019 to 19 Feb 2021)
  • CF30 Customer (6 Aug 2008 to 8 Dec 2019)
• Ross Hamilton Ibbotson

  IRN RHI01003

  • SMF3 Executive Director (12 Nov 2020 to 20 Dec 2021)
  • [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 (20 Sep 2012 to 8 Dec 2019)
• Sebastian John Francis Gladwish

  IRN SXG00155

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 26 Mar 2024)
  • [FCA CF] Client dealing (9 Dec 2020 to 26 Mar 2024)

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