New World Financial Group Ltd

• Principal Place of Business

  LevelQ

  Surtees Business Park

  Stockton-on-Tees

  TS18 3HR

  UNITED KINGDOM

  Phone

  +4403300050028

  Web

  https://www.newworldfg.com

• Complaints Contact

  LevelQ

  Surtees Business Park

  Stockton-on-Tees

  TS18 3HR

  UNITED KINGDOM

  Phone

  +4403300050028

• 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

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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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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.

• Lisa Tipton

  IRN LXT01398

  • 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
  • Responsible for Insurance Distribution (since 31 Jul 2024)
  • [FCA CF] Client dealing (since 1 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
  • [FCA CF] Manager of certification employee (since 1 Jan 2021)
  • SMF16 Compliance Oversight (since 28 Aug 2020)
  • SMF3 Executive Director (since 28 Aug 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Aug 2020)
• Michael Graham Duffield

  IRN MXD23161

  • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 19 May 2023)
  • [FCA CF] Client dealing (1 Jan 2021 to 19 May 2023)
• Simon James Tate

  IRN SJT01180

  • SMF3 Executive Director (28 Aug 2020 to 24 Jul 2024)
  • Responsible for Insurance Distribution (28 Aug 2020 to 24 Jul 2024)
  • Responsibility for MCD Intermediation (28 Aug 2020 to 24 Jul 2024)
• Simon Warne

  IRN SXW02329

  • 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)
  • SMF3 Executive Director (since 30 Oct 2024)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
  • [FCA CF] Client dealing (since 1 Jan 2021)

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