McInroy & Wood Ltd

• Principal Place of Business

  Easter Alderston

  Alderston

  Haddington

  East Lothian

  EH41 3SF

  UNITED KINGDOM

  Phone

  +4401620825867

  Web

  http://www.mcinroy-wood.co.uk

• Complaints Contact

  Easter Alderston

  Alderston

  Haddington

  East Lothian

  EH41 3SF

  UNITED KINGDOM

  Phone

  +4401620825867

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to regulated collective investment scheme as marketing group associate activities and in carrying on such activities to the specified investments "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).

• 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to underwriting on own account and to participation in placings on own account and in carrying on such activities to the specified investments, "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "rights to or interests in investments - security", (when the latter is associated with these specified investments).
  • · Limited to regulated collective investment scheme as marketing group associate activities and in carrying on such activities to the specified investments "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to regulated collective investment scheme as marketing group associate activities and in carrying on such activities to the specified investments "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Ian Roderic Primrose

  IRN IRP01027

  • CF30 Customer (1 Nov 2007 to 30 Apr 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 18 Aug 2006)
• Isla De Haldevang

  IRN IXD00036

  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 12 Nov 2020)
• James David Salusbury Cumming

  IRN JDC01068

  • CF30 Customer (1 Nov 2007 to 28 Jul 2015)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 18 Dec 2018)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• James Hedley Knibbs

  IRN JXK00279

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 1 Jul 2021)
  • [FCA CF] Client dealing (since 1 Jul 2021)
• James Peter Downie

  IRN JPD01168

  • CF10a CASS Oversight function (1 Oct 2011 to 1 Mar 2012)
  • CF10 Compliance Oversight (7 Sep 2011 to 26 Jan 2018)
• Jennifer Karen Rose Learmonth

  IRN JKT01008

  • CF30 Customer (1 Nov 2007 to 1 Nov 2007)
  • CF27 Investment Management (18 Jun 2003 to 18 Jun 2003)
  • CF21 Investment Adviser (18 Jun 2003 to 18 Jun 2003)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Joanne Denise Andrews

  IRN JDA01064

  • CF10 Compliance Oversight (29 Jul 2008 to 17 Dec 2010)
• John Campbell McAulay

  IRN JCM01163

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF10 Compliance Oversight (4 Dec 2002 to 31 Jul 2008)
  • CF1 Director (14 Feb 2002 to 8 Dec 2019)
• John Eleutherios Marshall

  IRN JEM01113

  • Director of firm who is not a certification employee or a SMF manager (since 23 Aug 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Aug 2024)
  • SMF3 Executive Director (9 Dec 2019 to 23 Aug 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 22 Aug 2024)
  • CF1 Director (22 Dec 2009 to 8 Dec 2019)
  • CF30 Customer (16 Jul 2009 to 8 Dec 2019)
• Joy Ann Young

  IRN JAY01007

  • SMF16 Compliance Oversight (9 Dec 2019 to 5 Jul 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 Jul 2024)
  • SMF3 Executive Director (9 Dec 2019 to 5 Jul 2024)
  • CF1 Director (12 Jun 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (11 Apr 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (29 Jan 2018 to 8 Dec 2019)

No changes recorded yet.