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.

Gary Paul John Shaughnessy
IRN GPS01052
- CF3 Chief Executive (1 Dec 2001 to 1 Jun 2006)
- CF8 Apportionment and Oversight (1 Dec 2001 to 1 Jun 2006)
- CF1 Director (1 Dec 2001 to 16 Jun 2008)
Graham Williamson MacDowall
IRN GWM00030
- CF10a CASS Oversight function (1 Oct 2011 to 8 Jun 2018)
- CF1 Director (1 Dec 2001 to 30 Jan 2019)
James Peter Galea
IRN JPG01140
- SMF17 Money Laundering Reporting Officer (MLRO) (11 Jun 2021 to 27 Oct 2022)
Jason Paul Holt
IRN JPH01199
- SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Nov 2024)
Jeffrey Lawrence Cotton
IRN JXC08635
- SMF16 Compliance Oversight (30 Jun 2021 to 1 May 2025)
John Hamilton Goddard
IRN JHG01050
- CF1 Director (13 Sep 2004 to 8 Jul 2005)
John Richard Talbot
IRN JRT01054
- CF10 Compliance Oversight (1 Dec 2001 to 29 Sep 2008)
- CF1 Director (1 Dec 2001 to 12 Jul 2013)
- CF11 Money Laundering Reporting (1 Dec 2001 to 29 Sep 2008)
Jonathan Carl Leslie Willcocks
IRN JCW01087
- [FCA CF] Significant management (13 Jul 2020 to 7 Jan 2022)
Laurence John Mumford
IRN LJM01119
- SMF9 Chair of the Governing Body (since 6 Jul 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- CF11 Money Laundering Reporting (15 Mar 2012 to 8 Jan 2017)
- CF1 Director (17 Dec 2004 to 8 Dec 2019)
Lavinia Darby
IRN LUM00001
- CF11 Money Laundering Reporting (24 Sep 2008 to 23 Dec 2011)
- CF1 Director (24 Sep 2008 to 23 Dec 2011)
- CF10 Compliance Oversight (24 Sep 2008 to 23 Dec 2011)

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.