HUGHES FIRMAN OVEL ASSET MANAGEMENT LIMITED

• Principal Place of Business

  Office 26

  340 The Crescent

  Colchester

  Essex

  CO4 9AD

  UNITED KINGDOM

  Phone

  +441206271281

• Complaints Contact

  Office 26

  340 The Crescent

  Colchester

  Essex

  CO4 9AD

  UNITED KINGDOM

  Phone

  +441206271281

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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.

• 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, 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.

• 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.

• 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, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• 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, Structured Deposits, 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.

• Benjamin Lee Farmer

  IRN BLT01016

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (14 Dec 2016 to 8 Dec 2019)
• Colin Michael Hull

  IRN CMH00016

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Mar 2025)
  • CF30 Customer (14 Oct 2010 to 8 Dec 2019)
• David John Lucas

  IRN DJL01175

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 25 Mar 2025)
  • CF30 Customer (10 Apr 2013 to 8 Dec 2019)
• Deane Renaut Baker

  IRN DRB00026

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (13 Oct 2010 to 8 Dec 2019)
• Gary Mark Pryor

  IRN GMP00010

  • CF30 Customer (27 May 2009 to 2 Jan 2014)
• Gregory Paul Street

  IRN GPS01080

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Client dealing (since 10 Feb 2023)
  • [FCA CF] Functions requiring qualifications (since 10 Feb 2023)
• James Alexander Hughes

  IRN JXH01791

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (13 Sep 2007 to 30 Sep 2018)
  • CF1 Director (13 Sep 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (13 Sep 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (13 Sep 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (13 Sep 2007 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (13 Sep 2007 to 31 Mar 2009)
• James Ian Philip Carroll

  IRN JIC01024

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (13 Oct 2010 to 8 Dec 2019)
• Leonard Jack Crisp

  IRN LJC00020

  • CF30 Customer (27 May 2009 to 24 Dec 2012)
• Mark David Firman- Andrews

  IRN MDF00028

  • CF30 Customer (1 Nov 2007 to 8 Jan 2013)
  • CF1 Director (13 Sep 2007 to 30 Nov 2012)
  • CF21 Investment Adviser (13 Sep 2007 to 31 Oct 2007)

No changes recorded yet.