Protocol Capital Management Limited

• Principal Place of Business

  92 Cadewell Lane

  Torquay

  Devon

  TQ2 7HP

  UNITED KINGDOM

  Phone

  +4401803203600

  Web

  https://www.protocolmoney.com

• Complaints Contact

  92 Cadewell Lane

  Torquay

  Devon

  TQ2 7HP

  UNITED KINGDOM

  Phone

  +4401803203600

• Pension Transfer Advice

  For 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.
  • · 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.

• 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

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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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

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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.

• 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

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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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

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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.

• Debt Advice

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  • · : ”Limited to debt counselling excluding the administration of debt management plans In this limitation debt management plans are 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"

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

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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 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

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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.

• Anthony Hopkins

  IRN AXH00010

  • CF30 Customer (1 Nov 2007 to 21 Dec 2007)
  • CF21 Investment Adviser (22 Aug 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (18 Apr 2007 to 22 Aug 2007)
• Christopher Horswell

  IRN CXH01444

  • CF2 Non Executive Director (23 Oct 2013 to 8 Dec 2019)
  • CF1 Director (22 Jun 2004 to 10 Oct 2013)
• David Antony William Carter

  IRN DAC00058

  • CF30 Customer (1 May 2009 to 20 Dec 2009)
• John Jeremy Michael Barron

  IRN JJB00004

  • CF22 Investment Adviser (Trainee) (7 Oct 2004 to 17 Dec 2005)
• Julian Peter Gunning

  IRN JPG00019

  • CF30 Customer (1 Nov 2007 to 21 Jul 2008)
  • CF21 Investment Adviser (19 Apr 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (7 Oct 2004 to 19 Apr 2006)
• Michael John King

  IRN MJK00032

  • CF30 Customer (1 Nov 2007 to 20 Dec 2009)
  • CF21 Investment Adviser (22 Jun 2004 to 31 Oct 2007)
• Paul Ceiriog Roberts

  IRN PCR00007

  • CF30 Customer (1 Nov 2007 to 21 Dec 2007)
  • CF22 Investment Adviser (Trainee) (28 Mar 2007 to 31 Oct 2007)
• Sharon Horswell

  IRN SXH01534

  • CF2 Non Executive Director (23 Oct 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 1 Sep 2012)
  • CF1 Director (22 Jun 2004 to 10 Oct 2013)
• Stephen Horswell

  IRN SXH00062

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • Responsible for Insurance Mediation (18 Aug 2008 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (19 May 2005 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (22 Jun 2004 to 8 Dec 2019)
  • CF10 Compliance Oversight (22 Jun 2004 to 8 Dec 2019)
  • CF1 Director (22 Jun 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (22 Jun 2004 to 31 Mar 2009)
  • CF22 Investment Adviser (Trainee) (22 Jun 2004 to 19 May 2005)

No changes recorded yet.