M & G Financial Services Limited

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Addresses

The contact details this firm has registered with the FCA.

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

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 Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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 Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

Senior staff personally approved by the FCA to hold their roles here.

Anthony John Ashplant
IRN AJA01064
- CF10 Compliance Oversight (9 Feb 2016 to 24 Mar 2016)
Ashley Howell
IRN AXH00773
- [FCA CF] Material risk taker (since 1 Nov 2023)
Catherine Marie Fleuty
IRN CMF01094
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Sep 2020)
- CF11 Money Laundering Reporting (9 Jan 2017 to 8 Dec 2019)
Christopher Cochrane
IRN CXC09618
- [FCA CF] Significant management (since 1 Nov 2023)
Christopher Ian Jackson
IRN CIJ00005
- CF1 Director (16 May 2005 to 3 May 2013)
Christopher Michael Peacock
IRN CMP01110
- CF10 Compliance Oversight (14 Mar 2012 to 21 Oct 2015)
David Powers
IRN DXP02304
- SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2023 to 27 Jul 2024)
David Roy Macmillan
IRN DXM01506
- [FCA CF] Significant management (16 Jul 2020 to 30 Sep 2022)
David William Dibben
IRN DWD01026
- CF1 Director (1 Dec 2001 to 31 Oct 2004)
Deborah Jacqueline Carter
IRN DJC01341
- CF1 Director (24 Feb 2005 to 31 Oct 2007)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.