Oak Tree Friendly Society

• Principal Place of Business

  First Floor Offices

  Wimberley Park

  Knapp Lane

  Brimscombe

  Stroud

  Gloucestershire

  GL5 2TH

  UNITED KINGDOM

  Phone

  +4401453732200

• Complaints Contact

  First Floor Offices

  Wimberley Park

  Knapp Lane

  Brimscombe

  Stroud

  Gloucestershire

  GL5 2TH

  UNITED KINGDOM

  Phone

  +4401453732200

• Bank Deposits

  For All, Deposit

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  • · Limited to accepting deposits in the course of carrying out transactions permitted by the rules of the Society.

• P2P Lending Advice

  For Professional, Retail (Investment)

• 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: 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 Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), 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.

• 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 Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), 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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), 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.

• Manages Insurance Policies

  For All, Linked long-term

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Trades With You Directly

  For Professional, Retail (Investment), Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Issues Insurance

  For All, Linked long-term

• Investment Setup

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), 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.

• Holds Your Assets

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), 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.

• Alvin Mark Lindley

  IRN AML01085

  • SMF25 Small Insurer Senior Management Function (since 10 Dec 2018)
  • SMF16 Compliance Oversight (since 10 Dec 2018)
  • SIMF25 Small Insurer Senior Manager (7 Mar 2016 to 9 Dec 2018)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 9 Dec 2018)
  • CF3 Chief Executive (1 Dec 2001 to 6 Mar 2016)
  • CF10 Compliance Oversight (1 Dec 2001 to 9 Dec 2018)
• Douglas George Nolan

  IRN DGN01006

  • CF5 Director of Unincorporated Association (1 Dec 2001 to 18 Nov 2016)
• James Luke Lindley

  IRN JLL01072

  • SMF25 Small Insurer Senior Management Function (since 10 Dec 2018)
  • SIMF25 Small Insurer Senior Manager (14 Oct 2016 to 9 Dec 2018)
• Jennifer Montague

  IRN JXM01664

  • SMF25 Small Insurer Senior Management Function (since 10 Dec 2018)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Dec 2018)
  • SIMF25 Small Insurer Senior Manager (7 Mar 2016 to 9 Dec 2018)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 9 Dec 2018)
  • CF5 Director of Unincorporated Association (1 Dec 2001 to 6 Mar 2016)

No changes recorded yet.