Lane Financial Management Limited

Date authorised
1 April 2013
Companies House
04252588
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Lane Financial Management Ltd
    Cams Hall
    Cams Hill
    Fareham
    Hampshire
    PO16 8AB
    UNITED KINGDOM
    Phone
    +4402392830640
    Web
    https://www.lane.fm

  • Complaints Contact

    Lane Financial Management Ltd
    Cams Hall
    Cams Hill
    Fareham
    Hampshire
    PO16 8AB
    UNITED KINGDOM
    Phone
    +442392830640

What this firm is allowed to do

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

  • 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
    • · 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.
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

  • 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.

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • 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.

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • 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
    • · 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.

  • Carl Patrick Rivers

    IRN CPR01038

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 14 Dec 2018)
    • CF11 Money Laundering Reporting (14 Dec 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (14 Dec 2018 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (4 Jan 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (4 Jan 2006 to 31 Oct 2007)
    • CF1 Director (4 Jan 2006 to 8 Dec 2019)
  • Darren Vernaldi Rochester

    IRN DVR01006

    • CF24 Pension Transfer Specialist (4 Jan 2006 to 19 May 2006)
    • CF21 Investment Adviser (4 Jan 2006 to 19 May 2006)
    • CF1 Director (4 Jan 2006 to 19 May 2006)
    • Responsible for Insurance Mediation (4 Jan 2006 to 19 May 2006)
  • David Harold Lane

    IRN DHL01026

    • [FCA CF] Client dealing (9 Dec 2019 to 1 Sep 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Sep 2022)
    • [FCA CF] Significant management (9 Dec 2019 to 1 Sep 2022)
    • SMF3 Executive Director (9 Dec 2019 to 1 Sep 2022)
    • Responsibility for MCD Intermediation (5 May 2016 to 22 Nov 2018)
    • CF11 Money Laundering Reporting (21 Jul 2011 to 22 Nov 2018)
    • CF28 Systems and controls (22 Apr 2009 to 22 Nov 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (4 Jan 2006 to 31 Oct 2007)
    • CF1 Director (4 Jan 2006 to 8 Dec 2019)
  • James Patrick Rivers

    IRN JXR00227

    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 22 Apr 2021)
    • [FCA CF] Client dealing (since 1 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Mar 2021)
  • Jean Lane

    IRN JXL01353

    • CF2 Non Executive Director (4 Jan 2006 to 21 Sep 2007)
  • Peter William Field

    IRN PWF01022

    • CF30 Customer (1 Apr 2009 to 31 Aug 2010)
    • CF1 Director (1 Apr 2009 to 31 Aug 2010)
  • Richard William Lane

    IRN RWL01047

    • CF30 Customer (1 Nov 2007 to 7 Dec 2007)
    • CF22 Investment Adviser (Trainee) (13 Jul 2006 to 31 Oct 2007)
  • William Harold Lane

    IRN WHL00006

    • CF30 Customer (1 Nov 2007 to 8 Dec 2009)
    • CF1 Director (4 Jan 2006 to 22 Nov 2018)
    • CF10 Compliance Oversight (4 Jan 2006 to 22 Nov 2018)
    • CF11 Money Laundering Reporting (4 Jan 2006 to 15 Jul 2011)
    • CF21 Investment Adviser (4 Jan 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (4 Jan 2006 to 31 Mar 2009)

Recent activity

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

No changes recorded yet.