LAUDER FINANCIAL LTD

• Principal Place of Business

  1/2 The Connal Building

  34 W George St

  Glasgow

  G2 1DA

  UNITED KINGDOM

  Phone

  +448000025228

• Complaints Contact

  1/2 The Connal Building

  34 W George St

  34 W George St

  Glasgow

  G2 1DA

  UNITED KINGDOM

  Phone

  +448000025228

• 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

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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.

• 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.

• 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.

• Keith Andrew Thomson

  IRN KAT00015

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF3 Executive Director (since 10 Jul 2024)
  • [FCA CF] Functions requiring qualifications (since 20 Apr 2023)
  • [FCA CF] Client dealing (since 20 Apr 2023)
• Margaret Lauder

  IRN MXL00105

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Jul 2024)
  • SMF3 Executive Director (9 Dec 2019 to 20 Feb 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 20 Feb 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 20 Feb 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 15 Jul 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 20 Feb 2024)
  • CF1 Director (1 Nov 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Nov 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Nov 2016 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Nov 2016 to 30 Sep 2018)
• Paul McKay Moore

  IRN PMM01108

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF3 Executive Director (since 16 Jul 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Jul 2024)
  • SMF16 Compliance Oversight (since 16 Jul 2024)
  • [FCA CF] Functions requiring qualifications (since 20 Apr 2023)
  • [FCA CF] Client dealing (since 20 Apr 2023)
• Paul Moore

  IRN PXM00590

  • [FCA CF] Functions requiring qualifications (20 Apr 2023 to 21 Apr 2023)
  • [FCA CF] Client dealing (20 Apr 2023 to 21 Apr 2023)
• Sonya Peace

  IRN SXP20775

  • SMF3 Executive Director (since 10 Jul 2024)

No changes recorded yet.