Investing Ethically Ltd

Date authorised
1 April 2013
Companies House
03948922
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Investing Ethically Ltd
    31-33 Whiffler Road
    Norwich
    Norfolk
    NR3 2AW
    UNITED KINGDOM
    Phone
    +4401603309020
    Web
    https://www.investing-ethically.co.uk

  • Complaints Contact

    Investing Ethically Ltd
    31-33 Whiffler Road
    Norwich
    Norfolk
    NR3 2AW
    UNITED KINGDOM
    Phone
    +4401603309020

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 2 limitations
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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), 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Alan John Kirkham

    IRN AJK00009

    • CF30 Customer (1 Nov 2007 to 16 Sep 2008)
    • Responsible for Insurance Mediation (14 Jan 2005 to 11 Jul 2012)
    • CF10 Compliance Oversight (1 Dec 2001 to 2 Jul 2009)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 5 Aug 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 11 Jul 2012)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • Andrew Neil Hockaday

    IRN ANH00003

    • 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)
    • 9A. Advising on P2P agreements
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (5 Aug 2009 to 8 Dec 2019)
    • CF1 Director (6 May 2008 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (9 Jun 2006 to 31 Oct 2007)
  • Charlotte Watts

    IRN CXW01463

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 2 May 2003)
  • Donna Louise Nelson

    IRN DXN23197

    • 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
    • 9A. Advising on P2P agreements
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (8 Nov 2019 to 8 Dec 2019)
  • Jill Saunders

    IRN JXS00294

    • CF2 Non Executive Director (1 Dec 2001 to 1 Oct 2003)
  • Lisa Maria Hardman

    IRN LMH01047

    • 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
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF1 Director (6 May 2008 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (14 Mar 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (11 Sep 2003 to 14 Mar 2005)
  • Philip Simon Cockrell

    IRN PSC00032

    • 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
    • 9A. Advising on P2P agreements
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (28 Sep 2016 to 3 Jun 2019)
    • Responsible for Insurance Mediation (23 Jul 2012 to 30 Sep 2018)
    • CF10 Compliance Oversight (2 Jul 2009 to 8 Dec 2019)
    • CF1 Director (6 May 2008 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (18 Dec 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 18 Dec 2002)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.