Philip Harper LLP

• Principal Place of Business

  Penn Barn

  By The Pond, Elm Road

  Penn

  High Wycombe

  Buckinghamshire

  HP10 8LB

  UNITED KINGDOM

  Phone

  +4401494817151

  Web

  https://fmifa.com

• Complaints Contact

  Penn Barn

  By the Pond

  Elm Road

  Penn

  High Wycombe

  Buckinghamshire

  HP10 8LB

  UNITED KINGDOM

  Phone

  +4401494817151

• P2P Lending Advice

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

• 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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  • · 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, 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.

• 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

• 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.

• Philip Owen Harper

  IRN POH00002

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Significant management (since 26 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 26 Mar 2021)
  • [FCA CF] Client dealing (since 26 Mar 2021)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF10 Compliance Oversight (9 Sep 2008 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (9 Sep 2008 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (9 Sep 2008 to 8 Dec 2019)
  • CF4 Partner (9 Sep 2008 to 8 Dec 2019)
  • CF30 Customer (9 Sep 2008 to 8 Dec 2019)
  • Responsible for Insurance Mediation (9 Sep 2008 to 30 Sep 2018)
• Vanessa Ruth Carver

  IRN VRC00001

  • [FCA CF] Client dealing (3 Dec 2020 to 30 Jun 2025)
  • [FCA CF] Functions requiring qualifications (3 Dec 2020 to 30 Jun 2025)
  • CF30 Customer (20 Sep 2012 to 14 Jun 2013)

No changes recorded yet.