KINGFURNESS & ASSOCIATES LIMITED

• Principal Place of Business

  Kingfurness & Associates Ltd

  32-35 Broad Street

  Hereford

  Herefordshire, County Of

  HR4 9AR

  UNITED KINGDOM

  Phone

  +4401432277877

  Web

  https://www.kingfurness.co.uk

• Complaints Contact

  Kingfurness & Associates Ltd

  32-35 Broad Street

  Hereford

  Herefordshire, County Of

  HR4 9AR

  UNITED KINGDOM

  Phone

  +4401432277877

• 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

• Credit Brokering

• 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”.

• 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

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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 Score Services

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  • · This permission is limited to not carrying out credit repair services

• Mark James Small

  IRN MJS00029

  • CF30 Customer (1 Nov 2007 to 31 Jul 2015)
  • CF21 Investment Adviser (1 Jul 2004 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Jul 2004 to 31 Jul 2015)
  • CF10 Compliance Oversight (1 Jul 2004 to 31 Jul 2015)
  • CF1 Director (1 Jul 2004 to 31 Jul 2015)
• Martin Patrick Johnston

  IRN MPJ01065

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 17 Oct 2024)
  • [FCA CF] Functions requiring qualifications (since 17 Oct 2024)
• Maxwell Clive Bukovets

  IRN MCB01183

  • CF30 Customer (20 Jan 2009 to 18 Jan 2013)
• Michael John Ewins

  IRN MJE01090

  • CF21 Investment Adviser (1 Jul 2004 to 29 Oct 2004)
• Paul Davies

  IRN PXD00024

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 9A. Advising on P2P agreements
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • SMF16 Compliance Oversight (9 Dec 2019 to 2 Feb 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Feb 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 2 Feb 2024)
  • CF10 Compliance Oversight (2 Sep 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (2 Sep 2015 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (1 Jul 2004 to 31 Mar 2009)
  • CF1 Director (1 Jul 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Jul 2004 to 31 Oct 2007)
• Paul Nicholas Turner

  IRN PNT00004

  • CF30 Customer (31 May 2011 to 1 Dec 2014)
• Robin Anthony Etherington

  IRN RAE00001

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 26 Feb 2024)
  • SMF16 Compliance Oversight (since 26 Feb 2024)
  • Responsible for Insurance Distribution (since 26 Feb 2024)
  • SMF3 Executive Director (since 26 Feb 2024)
• Stuart Raymond Scott

  IRN SRS00020

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 4 Jan 2013)
  • CF21 Investment Adviser (1 Jul 2004 to 31 Oct 2007)
• Tom Joseph Peake

  IRN TXP00174

  • [FCA CF] Functions requiring qualifications (12 Jan 2022 to 22 Apr 2022)
  • [FCA CF] Client dealing (12 Jan 2022 to 22 Apr 2022)

No changes recorded yet.