MOSAAC LIMITED

• Principal Place of Business

  1 Station Road

  Royston

  Barnsley

  South Yorkshire

  S71 4EW

  UNITED KINGDOM

  Phone

  +4401226701155

  Web

  https://www.mosaacfinancial.uk

• Complaints Contact

  1 Station Road

  Royston

  Barnsley

  South Yorkshire

  S71 4EW

  UNITED KINGDOM

  Phone

  +4401226701155

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

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  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

• Credit Brokering

• Debt Advice

  Show 2 limitations Hide limitations

  • · This permission is limited to debt counselling with no debt management activity
  • · This permission is limited to Debt Counselling which is provided in connection with investments advice and buy to let mortgages and second charge mortgages

• Equity Release Setup

  For Customer, Home reversion plans

• 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.

• Alexandra Fellows

  IRN AXF00114

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Nov 2021)
• Allan Martin

  IRN AXM00040

  • CF11 Money Laundering Reporting (15 Jun 2012 to 2 Jul 2013)
  • CF10 Compliance Oversight (15 Jun 2012 to 2 Jul 2013)
  • CF1 Director (15 Jun 2012 to 30 Jul 2018)
• Andrew David Jackson

  IRN ADJ00017

  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (5 Dec 2013 to 8 Dec 2019)
• Andrew David Osguthorpe

  IRN ADO01009

  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (17 Sep 2013 to 8 Dec 2019)
• Andrew Kellett

  IRN AXK00020

  • CF30 Customer (9 Jul 2012 to 19 Aug 2015)
• Antony Wayne Storey

  IRN WAS00007

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Dec 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 24 Dec 2022)
  • CF30 Customer (9 Jul 2012 to 8 Dec 2019)
• Barry Warburton

  IRN BXW00068

  • CF30 Customer (25 Jun 2013 to 16 Aug 2013)
• Broderick Peter Gordan Davis

  IRN BPD00002

  • CF30 Customer (9 Jul 2012 to 28 Oct 2015)
• Caroline Eaden

  IRN CXH01594

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 8 May 2019)
  • Responsibility for MCD Intermediation (since 8 May 2019)
  • CF10 Compliance Oversight (8 May 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (8 May 2019 to 8 Dec 2019)
  • CF1 Director (31 Oct 2012 to 8 Dec 2019)
• Charles Julian Mole

  IRN CJM00073

  • CF30 Customer (10 Jul 2012 to 31 Dec 2013)

No changes recorded yet.