Midas Strategies (UK) LLP

• Principal Place of Business

  25 Lowick Road

  Islip

  Kettering

  Northamptonshire

  NN14 3JY

  UNITED KINGDOM

  Phone

  +4401832730057

• Complaints Contact

  25 Lowick Road

  Islip

  Kettering

  Northamptonshire

  NN14 3JY

  UNITED KINGDOM

  Phone

  +4401832730057

• P2P Lending Advice

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

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

• 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, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

• David Frederick Sobey

  IRN DFS00005

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF27 Partner (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)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (13 Dec 2005 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (13 Dec 2005 to 31 Mar 2009)
  • Responsible for Insurance Mediation (13 Dec 2005 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (13 Dec 2005 to 8 Dec 2019)
  • CF10 Compliance Oversight (13 Dec 2005 to 8 Dec 2019)
  • CF21 Investment Adviser (13 Dec 2005 to 31 Oct 2007)
• Penelope Jean Mary Pedroli

  IRN PJP01085

  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF4 Partner (13 Dec 2005 to 8 Dec 2019)

No changes recorded yet.