Optimal Planning Ltd

Date authorised
1 April 2013
Companies House
05996871
Last scraped
1 day ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Optimal Planning Ltd
    The Portway Centre
    Old Sarum
    Salisbury
    Wiltshire
    SP4 6EB
    UNITED KINGDOM
    Phone
    +4401722770600
    Web
    https://www.optimalplanning.co.uk

  • Complaints Contact

    Optimal Planning Ltd
    The Portway Centre
    Old Sarum
    Salisbury
    Wiltshire
    SP4 6EB
    UNITED KINGDOM
    Phone
    +4401722770600

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

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

  • Pension Transfer Advice

    For Retail (Investment), Professional, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Life Policy, Personal pension scheme

    Show 2 limitations
    • · 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 Commercial, Retail (Non-Investment Insurance), Retail (Investment), Professional, Structured Deposits, 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
    • · 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Retail (Non-Investment Insurance), Retail (Investment), Professional, Structured Deposits, Certificates representing certain security, Debenture, 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, Government and public security

    Show 1 limitation
    • · 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.

  • Debt Advice

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management activity

  • Investment Setup

    For Commercial, Retail (Non-Investment Insurance), Retail (Investment), Professional, Structured Deposits, 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Catherine Julie Briers

    IRN CJB00034

    • (3)4. Giving personal recommendations on retail investment products which are not broker funds
    • (1)7. Giving personal recommendations on long-term care insurance contracts
    • (2)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (8)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (5)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (6)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (7)SMF3 Executive Director (since 9 Dec 2019)
    • (4)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (2)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (1)Responsible for Insurance Mediation (10 Apr 2007 to 30 Sep 2018)
    • (6)CF10 Compliance Oversight (10 Apr 2007 to 8 Dec 2019)
    • (8)CF1 Director (10 Apr 2007 to 8 Dec 2019)
    • (7)CF8 Apportionment and Oversight (10 Apr 2007 to 31 Mar 2009)
    • (3)CF24 Pension Transfer Specialist (10 Apr 2007 to 31 Oct 2007)
    • (4)CF21 Investment Adviser (10 Apr 2007 to 31 Oct 2007)
    • (5)CF11 Money Laundering Reporting (10 Apr 2007 to 8 Dec 2019)

Recent activity

Updates to this firm's record on the FCA register.

  1. controlled function added: (7)SMF3 Executive Director

  2. controlled function added: (6)SMF16 Compliance Oversight

  3. controlled function added: (5)SMF17 Money Laundering Reporting Officer (MLRO)

  4. controlled function added: (4)Responsible for Insurance Distribution

  5. controlled function added: (3)4. Giving personal recommendations on retail investment products which are not broker funds

  6. controlled function added: (2)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)

  7. controlled function added: (1)7. Giving personal recommendations on long-term care insurance contracts

  8. controlled function added: (8)CF1 Director

  9. controlled function added: (7)CF8 Apportionment and Oversight

  10. controlled function added: (8)[FCA CF] Functions requiring qualifications

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