Mid & West IFA Limited

• Principal Place of Business

  Mid & West IFA Ltd

  Shieling

  Woolston Bank

  Maesbury

  Oswestry

  Shropshire

  SY10 8HE

  UNITED KINGDOM

  Phone

  +4401691682762

  Web

  https://www.midandwest.co.uk

• Complaints Contact

  Mid & West IFA Ltd

  Shieling

  Woolston Bank

  Maesbury

  Oswestry

  Shropshire

  SY10 8HE

  UNITED KINGDOM

  Phone

  +4401691682762

• 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

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  • · 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 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, Structured Deposits, Unit

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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.

• 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 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

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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 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.

• John William Henry Mitchell

  IRN JWM00011

  • 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
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Benchmark submission and administration (9 Dec 2019 to 30 Nov 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 30 Nov 2021)
  • [PRA CF] Key function holder (9 Dec 2019 to 30 Nov 2021)
  • CF30 Customer (1 Dec 2017 to 8 Dec 2019)
• Stephen David Thomas

  IRN SDT00005

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [PRA CF] Key function holder (9 Dec 2019 to 30 Nov 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 20 Aug 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 20 Aug 2020)
  • [FCA CF] Benchmark submission and administration (9 Dec 2019 to 30 Nov 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 30 Nov 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 20 Aug 2020)
  • CF1 Director (1 Apr 2014 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Apr 2014 to 30 Sep 2018)
  • CF10 Compliance Oversight (1 Apr 2014 to 8 Dec 2019)
  • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Apr 2014 to 8 Dec 2019)

No changes recorded yet.