Lang Financial Scotland Limited

• Principal Place of Business

  Lang Financial

  1 Wellington Square

  Ayr

  South Ayrshire

  KA7 1EN

  UNITED KINGDOM

  Phone

  +4401292282116

  Web

  https://www.langfinancial.co.uk

• Complaints Contact

  Lang Financial

  1 Wellington Square

  Ayr

  South Ayrshire

  KA7 1EN

  UNITED KINGDOM

  Phone

  +4401292282116

• P2P Lending Advice

  For 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, 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.

• 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, 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• 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”.

• Investment Setup

  For Commercial, 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.

• Alan James Murphy

  IRN AJM00088

  • CF30 Customer (20 Nov 2018 to 16 Aug 2019)
• Angus MacLeod

  IRN AXM00142

  • CF30 Customer (4 Jul 2017 to 26 Nov 2019)
• David John Nicholson

  IRN DJN00014

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Oct 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Oct 2024)
  • CF30 Customer (6 Jul 2016 to 8 Dec 2019)
• Fraser McLellan

  IRN FXM73150

  • [FCA CF] Functions requiring qualifications (14 Mar 2022 to 11 Sep 2023)
• Lesley Hunter

  IRN LXP00008

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 1 Jun 2022)
  • [FCA CF] Client dealing (2 Mar 2020 to 9 Dec 2021)
  • [FCA CF] Functions requiring qualifications (2 Mar 2020 to 9 Dec 2021)
• Stuart Robert Lang

  IRN SRL00012

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • 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)
  • [FCA CF] Significant management (9 Dec 2019 to 1 Aug 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Aug 2022)
  • Responsibility for MCD Intermediation (24 Oct 2016 to 11 Sep 2023)
  • Responsible for Insurance Mediation (22 Apr 2013 to 30 Sep 2018)
  • CF1 Director (22 Apr 2013 to 8 Dec 2019)
  • CF10 Compliance Oversight (22 Apr 2013 to 8 Dec 2019)
  • CF30 Customer (22 Apr 2013 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (22 Apr 2013 to 8 Dec 2019)

No changes recorded yet.