Keith George Lilley

• Principal Place of Business

  9 Mayflower Gardens

  Bishop's Stortford

  Hertfordshire

  CM23 4PA

  UNITED KINGDOM

  Phone

  +441279862286

• Complaints Contact

  9 Mayflower Gardens

  Bishop's Stortford

  Hertfordshire

  CM23 4PA

  UNITED KINGDOM

  Phone

  +441279862286

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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 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 Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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 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

• 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.

• Anthony Eaton

  IRN AXE00001

  • CF4 Partner (1 Dec 2001 to 31 Dec 2002)
  • CF7 Sole Trader (AR) (1 Dec 2001 to 31 Dec 2002)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Dec 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2002)
• Keith George Lilley

  IRN KGL00002

  • [FCA CF] Client dealing (since 3 Aug 2020)
  • [FCA CF] Significant management (since 3 Aug 2020)
  • [FCA CF] Benchmark submission and administration (since 3 Aug 2020)
  • [FCA CF] CASS oversight function (since 3 Aug 2020)
  • [PRA CF] Key function holder (since 3 Aug 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (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 (since 1 Nov 2007)
  • SMF27 Partner (9 Dec 2019 to 17 Jan 2025)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
  • CF7 Sole Trader (AR) (1 Dec 2001 to 31 Jan 2007)

• Capitol Financial Services (no longer appointed)

  FRN 172165 · Appointed 14 Jan 2003 · Until 1 Jun 2021

• Capitol Financial Services (no longer appointed)

  FRN 172165 · Appointed 30 Mar 1995 · Until 8 Jan 2003

• Tower Financial Services (no longer appointed)

  FRN 154124 · Appointed 30 Jun 1992 · Until 18 Jan 2025

No changes recorded yet.