Polygon Financial Ltd

• Principal Place of Business

  34 Wellgate

  Clitheroe

  Lancashire

  BB7 2DP

  UNITED KINGDOM

  Phone

  +4401200428899

  Web

  https://www.polygonfinancial.co.uk

• Complaints Contact

  34 Wellgate

  Clitheroe

  Lancashire

  BB7 2DP

  UNITED KINGDOM

  Phone

  +4401200428899

• Buy-to-Let Mortgage Advice

• 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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  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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

• 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.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · i) This permission is limited to debt counselling with no debt management activity ii) ii) This permission is limited to debt counselling which is provided in connection with mortgage advice

• Equity Release Setup

  For Customer, Home reversion plans

• 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

• Adele Louise Cowgill

  IRN ALC01089

  • CF30 Customer (15 Oct 2016 to 30 Nov 2016)
• Ashley Parry

  IRN ADP01116

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (21 Nov 2019 to 8 Dec 2019)
  • CF1 Director (4 Jan 2018 to 8 Dec 2019)
  • CF30 Customer (23 Oct 2015 to 8 Dec 2019)
• David John George Lambert

  IRN DJL00079

  • CF30 Customer (16 Feb 2010 to 10 Oct 2016)
  • CF1 Director (16 Feb 2010 to 30 Aug 2011)
• Derek Connor

  IRN DXC00132

  • CF30 Customer (31 Oct 2011 to 21 Dec 2012)
• Ian Jonathan Storey

  IRN IJS01061

  • CF30 Customer (31 Oct 2011 to 23 Jun 2015)
• Kevin Jackson Crook

  IRN KJC00003

  • Responsibility for MCD Intermediation (21 Mar 2016 to 20 Jul 2017)
  • CF30 Customer (1 Nov 2007 to 29 Mar 2018)
  • Responsible for Insurance Mediation (6 Oct 2005 to 20 Jul 2017)
  • CF1 Director (5 Oct 2005 to 30 Nov 2017)
  • CF10 Compliance Oversight (5 Oct 2005 to 31 May 2017)
  • CF11 Money Laundering Reporting (5 Oct 2005 to 31 May 2017)
  • CF21 Investment Adviser (5 Oct 2005 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (5 Oct 2005 to 31 Mar 2009)
• Paul Lewis

  IRN PEL00008

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 20 Jul 2017)
  • Responsible for Insurance Mediation (20 Jul 2017 to 30 Sep 2018)
  • CF10 Compliance Oversight (31 May 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (31 May 2017 to 21 Nov 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (2 Aug 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (2 Aug 2007 to 31 Oct 2007)
• Phillip Coulter

  IRN PRC01133

  • CF30 Customer (12 Nov 2015 to 10 May 2017)
• Robert Whewell

  IRN RXW01668

  • CF30 Customer (4 Feb 2014 to 25 Feb 2014)
• Stephen William Boys

  IRN SWB01079

  • CF30 Customer (18 Feb 2014 to 10 Sep 2014)

No changes recorded yet.