MATTHEW DOUGLAS LIMITED

• Principal Place of Business

  4 High Street

  Hadleigh

  Ipswich

  Suffolk

  IP7 5AP

  UNITED KINGDOM

  Phone

  +4401473927072

  Web

  https://www.matthewdouglas.co.uk

• Complaints Contact

  4 High Street

  Hadleigh

  Ipswich

  Suffolk

  IP7 5AP

  UNITED KINGDOM

  Phone

  +4401473927072

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

• 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

  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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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), 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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”.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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

  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.

• Matthew Douglas Pescott Frost

  IRN MDP00013

  • 11. Pension transfer specialist
  • 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)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 22 Apr 2016)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Aug 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (28 Jun 2005 to 8 Dec 2019)
  • CF10 Compliance Oversight (28 Jun 2005 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF24 Pension Transfer Specialist (14 Oct 2003 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (14 Oct 2003 to 31 Mar 2009)
  • CF1 Director (14 Oct 2003 to 8 Dec 2019)
  • CF21 Investment Adviser (14 Oct 2003 to 31 Oct 2007)
• Michael Alan George

  IRN MAG01142

  • CF30 Customer (1 Nov 2007 to 4 Feb 2013)
  • CF21 Investment Adviser (13 Mar 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (6 May 2005 to 31 Oct 2007)
• Oliver Robert Pescott Frost

  IRN OXP00042

  • 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
  • [FCA CF] Client dealing (since 6 Jul 2022)
  • [FCA CF] Functions requiring qualifications (since 6 Jul 2022)
• Paul Hardy

  IRN PXH00590

  • 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
  • [FCA CF] Functions requiring qualifications (since 6 Jul 2022)
  • [FCA CF] Client dealing (since 6 Jul 2022)
• Rebecca Michelle Pescott Frost

  IRN RMP01077

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (14 Oct 2003 to 1 Mar 2005)
  • CF1 Director (14 Oct 2003 to 8 Dec 2019)
• Richard Pattle

  IRN RXP01529

  • CF30 Customer (1 Nov 2007 to 15 Dec 2008)
  • CF22 Investment Adviser (Trainee) (11 Jan 2007 to 31 Oct 2007)
• Roger Edward Leonard Spinks

  IRN RES00002

  • CF1 Director (AR) (9 Mar 2010 to 1 Jan 2014)
  • CF30 Customer (9 Mar 2010 to 28 Dec 2012)
• Roman Bronislaw Wisniewski

  IRN RBW00007

  • CF30 Customer (1 Apr 2009 to 21 Sep 2009)
  • CF21 Investment Adviser (22 Oct 2003 to 28 Jun 2004)
• Russell Dawson Palmer

  IRN RDP00021

  • CF21 Investment Adviser (22 Oct 2003 to 25 Dec 2005)
• Russell John Hammond Brett

  IRN RJB01554

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • 11. Pension transfer specialist
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Aug 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (17 Jan 2017 to 8 Dec 2019)
  • CF30 Customer (11 Jul 2014 to 8 Dec 2019)

• Ellisons Financial Planning Ltd (no longer appointed)

  FRN 626967 · Appointed 30 Jun 2014 · Until 27 Jun 2022

• Meadowcroft Financial Services Limited (no longer appointed)

  FRN 175307 · Appointed 9 Mar 2010 · Until 1 Jan 2014

No changes recorded yet.