PIERCEFIELD ASSET MANAGEMENT LIMITED

Date authorised
1 April 2013
Companies House
03608688
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Piercefield Oliver
    105-107 Bath Road
    Cheltenham
    Gloucestershire
    GL53 7LE
    UNITED KINGDOM
    Phone
    +4403452578749
    Web
    https://www.piercefieldoliver.com

  • Complaints Contact

    Piercefield Oliver
    105-107 Bath Road
    Cheltenham
    Gloucestershire
    GL53 7LE
    UNITED KINGDOM
    Phone
    +4403452578749

What this firm is allowed to do

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

  • 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

    Show 1 limitation
    • · 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 Advice (no pensions)

    For 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
    • · 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 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
    • · 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 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
    • · 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.

  • Christopher Dunkerley

    IRN CXD00067

    • CF30 Customer (1 Jun 2011 to 17 Nov 2014)
  • Louise Oliver

    IRN LXA00008

    • 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. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 15 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 15 Oct 2020)
    • [FCA CF] Significant management (since 15 Oct 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (8 Jan 2016 to 8 Dec 2019)
    • CF30 Customer (28 Apr 2014 to 8 Dec 2019)
  • Matthew John Rowe

    IRN MXR07226

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 15 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 15 Oct 2020)
    • CF30 Customer (17 Oct 2018 to 8 Dec 2019)
  • Paul Andrew Hughes

    IRN PAH01194

    • CF10 Compliance Oversight (24 Mar 2005 to 8 Nov 2005)
    • CF21 Investment Adviser (24 Mar 2005 to 31 Jan 2006)
    • CF11 Money Laundering Reporting (24 Mar 2005 to 8 Nov 2005)
  • Richard Vokes

    IRN RXV01210

    • CF30 Customer (15 Jul 2013 to 30 Dec 2013)
  • Stephen John Willis

    IRN SJW00016

    • 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
    • [FCA CF] Significant management (since 15 Oct 2020)
    • [FCA CF] Client dealing (since 15 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 15 Oct 2020)
    • [FCA CF] Manager of certification employee (since 15 Oct 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF28 Systems and controls (1 Nov 2007 to 1 Dec 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF24 Pension Transfer Specialist (1 Oct 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Oct 2004 to 31 Oct 2007)
    • CF13 Finance (1 Oct 2004 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Oct 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2004 to 8 Dec 2019)
    • CF1 Director (1 Oct 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Oct 2004 to 31 Mar 2009)

Recent activity

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

No changes recorded yet.