PricewaterhouseCoopers LLP

• Principal Place of Business

  1 Embankment Place

  London

  WC2N 6RH

  UNITED KINGDOM

  Phone

  +4402075835000

  Web

  https://www.pwc.co.uk

• Complaints Contact

  1 Embankment Place

  London

  WC2N 6RH

  UNITED KINGDOM

  Phone

  +4402075835000

• P2P Lending Advice

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

• Pension Transfer Advice

  For Eligible Counterparty, Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• Authorised to Operate

  Show 1 limitation Hide limitations

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

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Limited to where 1. the firm or a partner, employee or director of the firm holds a personal appointment and acts in whole or in part through the firm; and 2. no remuneration is received for managing the investments in addition to any remuneration which may be received for acting as the holder of the personal appointment.
  • · Limited to where the firm or a partner, employee or director of the firm is a personal representative of an estate, a bare trustee, nominee or custodian of assets or a trustee of an unregulated collective investment scheme.
  • · Limited where 1. the firm or a partner, employee or director of the firm holds a personal appointment and acts in whole or in part through the firm; and 2. substantially all day-to-day decisions about managing the investments are taken by, or in accordance with advice given by, a permitted third party under the terms of a written agreement with the holder of the personal appointment.
  • · Limited to where 1. the firm or partner, employee or director of the firm holds a personal appointment and acts in whole or in part through the firm; and 2. substantially all decisions about managing the investments need the agreement of one or more co-holders of the personal appointment other than (a) the firm or partners, employees or directors of the firm; or (b) associates of the firm.
  • · Limited where 1. the firm or a partner, employee or director of the firm holds a personal appointment and acts in whole or in part through the firm; 2. substantially all decisions about managing the investments are taken in accordance with advice given by a permitted third party under the terms of a written agreement with the firm; 3. the firm has revealed that it is acting for the particular holder of a personal appointment, and 4. the permitted third party has agreed that the holder of the personal appointment is its client.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• Andrew David Claymore

  IRN ADC01109

  • CF23 Corporate Finance Adviser (22 May 2003 to 5 Aug 2005)
• Andrew Donald Mckechnie

  IRN AXM01430

  • [FCA CF] Significant management (5 Jan 2023 to 30 Jun 2024)
• Andrew Doyle

  IRN AXD02570

  • CF30 Customer (22 Jul 2016 to 3 Apr 2017)
• Andrew Edward Jackson

  IRN AEJ01020

  • CF23 Corporate Finance Adviser (22 May 2003 to 29 Sep 2003)
• Andrew Hillary Porter

  IRN AHP01031

  • CF23 Corporate Finance Adviser (22 May 2003 to 30 Dec 2004)
• Andrew John Grove

  IRN AJG01224

  • CF23 Corporate Finance Adviser (22 May 2003 to 29 Sep 2006)
• Andrew John Powell

  IRN AJP01230

  • CF23 Corporate Finance Adviser (22 May 2003 to 29 Jul 2005)
• Andrew Michael Drake

  IRN AXD01203

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2020)
  • CF30 Customer (9 Aug 2016 to 8 Dec 2019)
• Andrew Morgan

  IRN AXM03227

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jun 2020)
  • CF10 Compliance Oversight (12 Mar 2019 to 22 Jul 2019)
  • CF11 Money Laundering Reporting (16 Dec 2011 to 1 Mar 2012)
• Andrew Parker

  IRN AXP01401

  • CF30 Customer (13 Feb 2012 to 23 Apr 2015)
  • CF23 Corporate Finance Adviser (22 May 2003 to 5 Dec 2006)

• PricewaterhouseCoopers Legal LLP (no longer appointed)

  FRN 718894 · Appointed 1 Oct 2015 · Until 1 Oct 2016

• PricewaterhouseCoopers Services Limited (no longer appointed)

  FRN 706528 · Appointed 15 Jun 2015 · Until 3 Mar 2025

• PricewaterhouseCoopers (Resources) (no longer appointed)

  FRN 704344 · Appointed 1 Jun 2015 · Until 23 Jan 2017

No changes recorded yet.