MEDICAL INVESTMENT & FINANCIAL MANAGEMENT LTD

Date authorised
1 April 2013
Companies House
04374844
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Owls Hoot
    Marriotts Avenue
    South Heath
    Great Missenden
    Buckinghamshire
    HP16 9QL
    UNITED KINGDOM
    Phone
    +441494266716

  • Complaints Contact

    Owls Hoot
    Marriotts Avenue
    South Heath
    Great Missenden
    Buckinghamshire
    HP16 9QL
    UNITED KINGDOM
    Phone
    +441494266716

What this firm is allowed to do

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

  • P2P Lending Advice

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

  • Pension Transfer Advice

    For Professional, 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
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
    • · 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 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
    • · 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

    For Professional, Retail (Investment)

    Show 1 limitation
    • · 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
    • · 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.

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Credit Brokering

  • Debt Advice

    Show 2 limitations
    • · Limited to debt counselling which is provided in connection with investment advice
    • · This permission is limited to debt counselling with no debt management activity

  • Consumer Loans

    Show 2 limitations
    • · limited to lending lending where no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement
    • · Limited to that is in connection with the repayment of fees, relating to the provision of professional services which are only for ongoing services or regular premiums

  • Loan Servicing

    Show 2 limitations
    • · Limited to lending lending where no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement
    • · Limited to that is in connection with the repayment of fees, relating to the provision of professional services which are only for ongoing services or regular premiums

  • 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
    • · 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.

Approved individuals

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

  • Alan James Brown

    IRN AJB00001

    • SMF3 Executive Director (9 Dec 2019 to 6 May 2020)
    • CF11 Money Laundering Reporting (1 Jul 2008 to 7 Aug 2019)
    • CF30 Customer (1 Nov 2007 to 3 Jul 2019)
    • CF10 Compliance Oversight (25 Jun 2002 to 7 Aug 2019)
    • CF21 Investment Adviser (25 Jun 2002 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (25 Jun 2002 to 31 Oct 2007)
    • CF3 Chief Executive (25 Jun 2002 to 3 Jul 2019)
    • CF1 Director (25 Jun 2002 to 8 Dec 2019)
  • Alistair William Beattie Woodman

    IRN AXW00072

    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF21 Investment Adviser (24 Jan 2005 to 31 Oct 2007)
  • Derek James Mepham

    IRN DJM00001

    • Responsible for Insurance Mediation (11 Feb 2005 to 1 Jul 2007)
    • CF1 Director (25 Jun 2002 to 1 Jul 2007)
    • CF21 Investment Adviser (25 Jun 2002 to 1 Jul 2007)
    • CF24 Pension Transfer Specialist (25 Jun 2002 to 1 Jul 2007)
    • CF8 Apportionment and Oversight (25 Jun 2002 to 1 Jul 2007)
  • Eric John Wilderspin

    IRN EJW00002

    • CF30 Customer (1 Nov 2007 to 30 Jun 2008)
    • CF21 Investment Adviser (25 Jun 2002 to 31 Oct 2007)
    • CF1 Director (25 Jun 2002 to 30 Jun 2008)
    • CF11 Money Laundering Reporting (25 Jun 2002 to 30 Jun 2008)
  • Mark Anthony Candler

    IRN MAC00002

    • 9A. Advising on P2P agreements
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (30 Jul 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (30 Jul 2019 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • Responsible for Insurance Mediation (12 Oct 2007 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (12 Oct 2007 to 31 Mar 2009)
    • CF1 Director (25 Jun 2002 to 8 Dec 2019)
    • CF21 Investment Adviser (25 Jun 2002 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.