Impartial Financial Solutions Dundee LLP

• Principal Place of Business

  5A Holdings

  Tealing

  Dundee

  Angus

  DD4 0PZ

  UNITED KINGDOM

  Phone

  +4407454325272

• Complaints Contact

  5A Holdings

  Tealing

  Dundee

  Angus

  DD4 0PZ

  UNITED KINGDOM

  Phone

  +4407454325272

• 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.

• 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.

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Commodity Future, 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.

• Colin Charles Blakeman

  IRN CCB00020

  • 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)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 6 Jan 2021)
  • [FCA CF] Benchmark submission and administration (9 Dec 2019 to 6 Jan 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 6 Jan 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 6 Jan 2021)
  • [FCA CF] Proprietary trader (9 Dec 2019 to 6 Jan 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 6 Jan 2021)
  • CF11 Money Laundering Reporting (14 May 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (4 Nov 2013 to 8 Dec 2019)
  • CF4 Partner (4 Nov 2013 to 8 Dec 2019)
  • CF30 Customer (4 Nov 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (4 Nov 2013 to 30 Sep 2018)
• Fiona Blakeman

  IRN FXB01398

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (15 May 2014 to 8 Dec 2019)
• Scott McKenzie Nicoll

  IRN SMN00008

  • CF30 Customer (4 Nov 2013 to 1 May 2014)
  • CF4 Partner (4 Nov 2013 to 1 May 2014)
  • CF11 Money Laundering Reporting (4 Nov 2013 to 1 May 2014)

No changes recorded yet.