KUWAIT FINANCE HOUSE PLC

• Principal Place of Business

  Kuwait Finance House PLC

  35 Portman Square

  London

  W1H 6LR

  UNITED KINGDOM

  Phone

  +4402074876500

  Web

  https://www.uk.kfh.com

• Complaints Contact

  KUWAIT FINANCE HOUSE PLC

  35 Portman Square

  London

  W1H 6LR

  UNITED KINGDOM

  Phone

  +442074876351

• Bank Deposits

  For All, Deposit

• Buy-to-Let Mortgage Admin

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• Buy-to-Let Mortgage Lending

• Islamic Mortgage Admin

  For Customer, Home purchase plans

• Mortgage Servicing

  For Customer, Regulated mortgage contract

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Islamic Mortgage Advice

  For Customer, Home purchase plans

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "unit", "life policy" and "funeral plan contract".
  • · 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.
  • · Limited to investment management activities for the specified investment types "share", "unit", "stakeholder pension scheme", "life policy" and "funeral plan contract".
  • · Limited to advisory-only activities for the investment types "share", "unit", "stakeholder pension scheme", "life policy" and "funeral plan contract".
  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share" and "unit".
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investment "unit".

• 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.

• Islamic Mortgage Arranging

  For Customer, Home purchase plans

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 8 limitations Hide limitations

  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "unit", "life policy" and "funeral plan contract".
  • · 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.
  • · Limited to investment management activities for the specified investment types "share", "unit", "stakeholder pension scheme", "life policy" and "funeral plan contract".
  • · Limited to unregulated collective investment scheme share exchange operations and in carrying on such activities to the speficied investments "unit" and "stakeholder pension scheme".
  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share" and "unit".
  • · Limited to dealing-only activities and in carrying on such activities to the specified investments "share", "unit", "stakeholder pension scheme", "life policy" and "funeral plan contract".
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investment "unit".
  • · Limited to unregulated collective investment scheme operations and in carrying on such activities to the specified investments "unit" and "share" and to the customer type "professional client".

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Buy-to-Let Start Date

• Buy-to-Let Status

• Stockbroking

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "unit", "life policy" and "funeral plan contract".
  • · 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.
  • · Limited to investment management activities for the specified investment types "share", "unit", "stakeholder pension scheme", "life policy" and "funeral plan contract".
  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share" and "unit".
  • · Limited to stocklending activities and in carrying on such activities to the investment types "share", "unit", "life policy" and "funeral plan contract".
  • · Limited to unregulated collective investment scheme operations and in carrying on such activities to the specified investments "unit" and "share" and to the customer type "professional client".

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations 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.
  • · Limited to unregulated collective investment activities box management operations.

• Islamic Mortgage Provider

  For Customer, Home purchase plans

• Mortgage Lending

  For Customer, Regulated mortgage contract

• Consumer Loans

• Loan Servicing

• Islamic Mortgage Setup

  For Customer, Home purchase plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 7 limitations Hide limitations

  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "unit", "life policy" and "funeral plan contract".
  • · Limited to unregulated collective investment scheme operations and in carrying on such activities to the specified investments "unit" and "share" and to the customer type "professional client".
  • · 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.
  • · Limited to investment management activities for the specified investment types "share", "unit", "stakeholder pension scheme", "life policy" and "funeral plan contract".
  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share" and "unit".
  • · Limited to transaction-only activities for the investment types "units", "stakeholder pension scheme", "life policy" and "funeral plan contract".
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investment "unit".

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities for the specified customer types.
  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed other than, "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Tareq Al-Duaij

  IRN TXA01032

  • CF27 Investment Management (1 Dec 2001 to 12 Dec 2001)
• Timothy Damian Edward Houghton-Clemmey

  IRN TDH01028

  • [FCA CF] Functions requiring qualifications (7 Mar 2022 to 18 Mar 2026)
  • [FCA CF] Material risk taker (7 Mar 2022 to 18 Mar 2026)
  • [FCA CF] Significant management (7 Mar 2016 to 18 Mar 2026)
  • CF30 Customer (20 Mar 2013 to 6 Mar 2016)
  • CF21 Investment Adviser (5 Jul 2006 to 26 Jun 2007)
• Timothy David Pamphlett

  IRN TXP00210

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 23. Overseeing execution-only sales on a day-to-day basis in relation to equity release transactions
  • [FCA CF] Functions requiring qualifications (since 8 Jun 2022)
  • [FCA CF] Material risk taker (6 Jun 2022 to 10 Sep 2024)
• Tony Melvin Bronk

  IRN TMB01029

  • CF10 Compliance Oversight (12 Sep 2011 to 9 Jan 2015)
• Tracey Ann Sheridan

  IRN TXG00152

  • [FCA CF] Material risk taker (26 Jun 2023 to 12 Jan 2024)
• Valerie Christine Finch

  IRN VCF01001

  • CF30 Customer (1 Jul 2008 to 6 Mar 2016)
• Vaseem Chapra

  IRN VXC16981

  • SMF17 Money Laundering Reporting Officer (MLRO) (11 Apr 2023 to 31 Jul 2024)
  • SMF16 Compliance Oversight (20 Sep 2019 to 31 Jul 2024)
• Victoria Louise Ely

  IRN VXE45375

  • [FCA CF] Material risk taker (1 Jul 2019 to 2 Jun 2023)
• ZEENA FAROUK

  IRN ZXF01021

  • CF30 Customer (11 Jul 2012 to 15 Jun 2015)
• Zahia Benatia

  IRN ZXB01025

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • 3. Giving personal recommendations on derivatives
  • [FCA CF] Functions requiring qualifications (since 1 Mar 2019)
  • [FCA CF] Client dealing (since 1 Mar 2019)
  • [FCA CF] Material risk taker (1 Mar 2019 to 4 Sep 2024)

No changes recorded yet.