Hicks & McNish LLP

• Principal Place of Business

  907 Dumbarton Road

  Glasgow

  Lanarkshire

  G11 6NB

  UNITED KINGDOM

  Phone

  +4401413345541

  Web

  https://www.hicksandmcnish.org

• Complaints Contact

  907 Dumbarton Road

  Glasgow

  Lanarkshire

  G11 6NB

  UNITED KINGDOM

  Phone

  +441413345541

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Credit Brokering

• Debt Advice

  Show 2 limitations Hide limitations

  • · This permission is limited to debt counselling with no debt management activity
  • · This permission is limited to debt counselling which is provided in connection with investment advice, buy-to-let and second charge mortgages

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Dennis Stuart Osman

  IRN DSO00005

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Aug 2025)
  • CF30 Customer (3 Oct 2011 to 8 Dec 2019)
• George McNish

  IRN GXM00002

  • [FCA CF] Client dealing (5 Dec 2024 to 31 Aug 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2025)
  • SMF27 Partner (9 Dec 2019 to 6 Apr 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Apr 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 6 Apr 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 5 Dec 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 5 Dec 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 6 Apr 2023)
  • Responsibility for MCD Intermediation (16 Jun 2016 to 6 Apr 2023)
  • CF11 Money Laundering Reporting (3 Oct 2011 to 8 Dec 2019)
  • CF30 Customer (3 Oct 2011 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Oct 2011 to 8 Dec 2019)
  • CF4 Partner (3 Oct 2011 to 8 Dec 2019)
  • Responsible for Insurance Mediation (3 Oct 2011 to 30 Sep 2018)
• Jane McNish

  IRN JXM02918

  • SMF27 Partner (9 Dec 2019 to 6 Apr 2023)
  • CF4 Partner (3 Oct 2011 to 8 Dec 2019)
• Kathleen Jean McNish

  IRN KXM00301

  • SMF27 Partner (since 28 Apr 2022)
  • Director of firm who is not a certification employee or a SMF manager (6 Apr 2021 to 7 Apr 2021)
• Kenneth Fergus Benjamin McNish

  IRN KFM01029

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 9A. Advising on P2P agreements
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 5 Dec 2024)
  • [FCA CF] Significant management (since 5 Dec 2024)
  • [FCA CF] Manager of certification employee (since 5 Dec 2024)
  • Responsibility for MCD Intermediation (since 4 May 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 May 2023)
  • SMF16 Compliance Oversight (since 4 May 2023)
  • Responsible for Insurance Distribution (since 4 May 2023)
  • SMF27 Partner (since 7 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (11 Aug 2018 to 8 Dec 2019)
• Kevin Michael Hicks

  IRN KMH00014

  • SMF27 Partner (9 Dec 2019 to 6 Apr 2020)
  • CF30 Customer (3 Oct 2011 to 1 Oct 2019)
  • CF4 Partner (3 Oct 2011 to 8 Dec 2019)

No changes recorded yet.