Principality Building Society

• Principal Place of Business

  Principality Bldg Soc

  Principality House

  The Friary

  Cardiff

  CF10 3FA

  UNITED KINGDOM

  Phone

  +442920382000

  Web

  https://www.principality.co.uk

• Complaints Contact

  Principality Bldg Soc

  Principality House

  The Friary

  Cardiff

  CF10 3FA

  UNITED KINGDOM

  Phone

  +442920382000

• Bank Deposits

  For All, Deposit

• Buy-to-Let Mortgage Admin

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• Buy-to-Let Mortgage Lending

• Mortgage Servicing

  For Customer, Regulated mortgage contract

• P2P Lending Advice

  For Commercial, Retail (Non-Investment Insurance)

• Investment Advice (no pensions)

  For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments)

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Stakeholder pension scheme, Unit

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

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

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · The firm, in carrying out this regulated activity, is limited to entering into transactions in a manner which, if the firm was an unauthorised person, would come within article 16 of the RAO.

• Debt Advice

  Show 1 limitation Hide limitations

  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation "debt management plans" is defined as: "a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders"

• Mortgage Lending

  For Customer, Regulated mortgage contract

• Loan Servicing

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Stakeholder pension scheme, Unit

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Sian Davies

  IRN SXG01535

  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 3 May 2016)
  • CF11 Money Laundering Reporting (1 Oct 2012 to 6 Mar 2016)
  • CF28 Systems and controls (1 Nov 2007 to 21 Aug 2009)
  • CF15 Internal Audit (1 Sep 2006 to 31 Oct 2007)
• Sian Williams

  IRN SXW42461

  • [FCA CF] Manager of certification employee (7 Mar 2016 to 1 Aug 2020)
• Simon Alick Moore

  IRN SAM01137

  • SMF9 Chair of the Governing Body (since 20 Apr 2024)
  • Director of firm who is not a certification employee or a SMF manager (22 Jan 2024 to 16 May 2024)
• Simon John Nicholls

  IRN SJN00018

  • CF21 Investment Adviser (25 Jan 2002 to 2 Jul 2004)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 25 Jan 2002)
• Simon Jon Parfitt

  IRN SJP00029

  • CF21 Investment Adviser (1 Dec 2001 to 12 Nov 2004)
• Stephanie Alexander-Vessey

  IRN SXA00399

  • [FCA CF] Functions requiring qualifications (17 Jun 2021 to 18 Feb 2025)
• Stephanie Richards

  IRN SXR42454

  • [FCA CF] Manager of certification employee (9 May 2016 to 1 Aug 2020)
• Stephen Allan Corken

  IRN SAC00033

  • CF30 Customer (1 Nov 2007 to 30 Apr 2009)
  • CF21 Investment Adviser (6 Feb 2004 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (13 Mar 2003 to 6 Feb 2004)
• Stephen James Hughes

  IRN SJH01450

  • SMF1 Chief Executive (3 Mar 2017 to 2 Dec 2019)
  • SMF2 Chief Finance (7 Mar 2016 to 11 Aug 2017)
  • CF1 Director (7 Mar 2013 to 6 Mar 2016)
• Stephen Mellowes

  IRN SXM00468

  • [FCA CF] Material risk taker (1 Mar 2021 to 6 Jan 2025)

No changes recorded yet.