N. J. Leeson & Co.

• Principal Place of Business

  629 Ecclesall Road

  Sheffield

  South Yorkshire

  S11 8PT

  UNITED KINGDOM

  Phone

  +4401142660044

  Web

  https://www.njleeson.com

• Complaints Contact

  629 Ecclesall Road

  Sheffield

  South Yorkshire

  S11 8PT

  UNITED KINGDOM

  Phone

  +4401142660044

• 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, 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, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

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  • · Firm is permitted to carry on this activity in relation to first charge mortgages only

• 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, 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

  Show 1 limitation Hide limitations

  • · Firm is permitted to carry on this activity in relation to first charge mortgages only

• 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, 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.

• Brian McCartney Clarke

  IRN BMC00005

  • CF30 Customer (1 Nov 2007 to 26 Nov 2010)
  • CF21 Investment Adviser (2 Oct 2006 to 31 Oct 2007)
• Nicholas John Leeson

  IRN NJL00001

  • 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)
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Significant management (since 6 Apr 2020)
  • [FCA CF] Functions requiring qualifications (since 6 Apr 2020)
  • [FCA CF] Proprietary trader (since 6 Apr 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (16 Nov 2012 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)

No changes recorded yet.