MACBETH, SCOTT & CO. LIFE & PENSION SERVICES LIMITED

• Principal Place of Business

  3 New Road

  Kendal

  Cumbria

  LA9 4AY

  UNITED KINGDOM

  Phone

  +4401539727727

  Web

  https://www.macbethscottinvestments.co.uk

• Complaints Contact

  3 New Road

  Kendal

  Cumbria

  LA9 4AY

  UNITED KINGDOM

  Phone

  +441539727727

• P2P Lending Advice

  For Commercial, Professional, 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

  Show 2 limitations 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.
  • · 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 Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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), 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.

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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 John Dorsett

  IRN AJD00078

  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2006)
• Angela Christine Pooley

  IRN ACP00014

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Brett Griffin

  IRN BXG00054

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Charles Walter Scott

  IRN CWS00008

  • 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)
  • 9A. Advising on P2P agreements
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Helena Yvonne Nolan

  IRN HXN00113

  • 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] Client dealing (since 22 Apr 2024)
  • [FCA CF] Functions requiring qualifications (since 22 Apr 2024)
• Hugh Malcolm Morton

  IRN HMM00008

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Dec 2020)
  • CF30 Customer (30 Dec 2015 to 8 Dec 2019)
• Ian Stephen Jones

  IRN ISJ00001

  • CF22 Investment Adviser (Trainee) (19 Apr 2002 to 15 Aug 2004)
• Jonathan Matthew Orton

  IRN JMO00019

  • [FCA CF] Client dealing (9 Dec 2019 to 24 Nov 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Nov 2022)
  • CF30 Customer (31 Aug 2017 to 8 Dec 2019)
• Nina Hughes

  IRN NLH01030

  • [FCA CF] Client dealing (23 Jan 2023 to 24 Oct 2023)
  • [FCA CF] Functions requiring qualifications (23 Jan 2023 to 24 Oct 2023)
• Philip Bryan Williams

  IRN PBW01039

  • CF30 Customer (1 Oct 2012 to 10 Feb 2017)

No changes recorded yet.