J.M. FINN & CO.LTD

• Principal Place of Business

  25 Copthall Avenue

  London

  EC2R 7AH

  UNITED KINGDOM

  Phone

  +4402076001660

  Web

  https://www.jmfinn.com

• Complaints Contact

  25 Copthall Avenue

  London

  EC2R 7AH

  UNITED KINGDOM

  Phone

  +4402076001660

• 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

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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.

• 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 Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Warrant

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  • · Unable to hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook.
  • · 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 excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• James Thomas

  IRN JXT15486

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 1 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• James William Edgedale

  IRN JWE01015

  • [FCA CF] Material risk taker (1 Jan 2021 to 20 Aug 2021)
  • [FCA CF] Client dealing (1 Jan 2021 to 20 Aug 2021)
  • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 20 Aug 2021)
  • SMF3 Executive Director (2 Jun 2020 to 31 Dec 2020)
  • SMF9 Chair of the Governing Body (2 Jun 2020 to 31 Dec 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (30 Jun 2006 to 31 Oct 2007)
  • CF1 Director (30 Jun 2006 to 8 Dec 2019)
  • CF27 Investment Management (30 Jun 2006 to 31 Oct 2007)
  • CF3 Chief Executive (30 Jun 2006 to 27 May 2015)
  • CF8 Apportionment and Oversight (30 Jun 2006 to 31 Oct 2007)
• Jan Hendrik Maria Suzanna Suykens

  IRN JHS01121

  • SMF13 Chair of the Nominations Committee (9 Dec 2019 to 31 Dec 2023)
  • SMF12 Chair of the Remuneration Committee (9 Dec 2019 to 31 Dec 2023)
  • SMF11 Chair of the Audit Committee (9 Dec 2019 to 31 Dec 2023)
  • SMF14 Senior Independent Director (9 Dec 2019 to 31 Dec 2023)
  • CF2 Non Executive Director (31 Aug 2011 to 8 Dec 2019)
• Janet Frances Grant

  IRN JFG01031

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF21 Investment Adviser (30 Jun 2006 to 31 Oct 2007)
• Jeffrey Sherriff

  IRN JXS00540

  • [FCA CF] Material risk taker (since 1 Jan 2021)
• Jens Van Nieuwenborgh

  IRN JXV01295

  • SMF10 Chair of the Risk Committee (9 Dec 2019 to 7 Nov 2023)
  • CF2 Non Executive Director (16 Oct 2015 to 8 Dec 2019)
• Jeremy John Robert Scott

  IRN JJS01062

  • CF30 Customer (11 Mar 2008 to 31 Dec 2015)
• Jeremy Robert Willans

  IRN JRW01162

  • CF30 Customer (10 Mar 2008 to 5 Apr 2019)
• Jeremy Smith

  IRN JSS01083

  • CF21 Investment Adviser (30 Jun 2006 to 9 Jan 2007)
  • CF26 Customer Trading (30 Jun 2006 to 31 Jul 2007)
• Joanna Helen Thomas

  IRN JHS01049

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
  • [FCA CF] Client dealing (since 1 Jan 2021)
  • CF30 Customer (28 Aug 2008 to 8 Dec 2019)

No changes recorded yet.