Punter Southall SIPP Limited

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Addresses

The contact details this firm has registered with the FCA.

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

Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Personal pension scheme, Rights to or interests in investments (Security)
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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.
Trades With You Directly

For Eligible Counterparty, Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)
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- · The firm is limited to dealing as a principal in investments in the rights under the scheme it operates
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Runs Personal Pensions
Investment Setup

For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Personal pension scheme, Rights to or interests in investments (Security)
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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.

Senior staff personally approved by the FCA to hold their roles here.

Adriaan Sarel Du Plessis
IRN ASD01087
- CF2 Non Executive Director (3 Feb 2010 to 22 Jun 2018)
Alan Bridgland Gaukroger
IRN ABG00001
- CF21 Investment Adviser (1 Dec 2001 to 1 Apr 2007)
Alan Gerard Morahan
IRN AGM00027
- CF2 Non Executive Director (23 Apr 2007 to 5 Feb 2008)
- CF1 Director (1 Dec 2001 to 1 Apr 2007)
- CF21 Investment Adviser (1 Dec 2001 to 1 Apr 2007)
Andrew Edward Snowdon
IRN AES00005
- CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 19 Jul 2002)
- CF21 Investment Adviser (1 Dec 2001 to 19 Jul 2002)
Andrew Michael Cork
IRN AMC01145
- CF1 Director (14 Feb 2005 to 10 Jan 2006)
- CF14 Risk Assessment (11 Jul 2002 to 10 Jan 2006)
- CF10 Compliance Oversight (11 Jul 2002 to 10 Jan 2006)
- CF11 Money Laundering Reporting (11 Jul 2002 to 10 Jan 2006)
Andrew Timothy Rimmer
IRN ATR00003
- CF21 Investment Adviser (1 Dec 2001 to 1 Apr 2007)
Andrew Towner
IRN AXT00034
- CF21 Investment Adviser (1 Dec 2001 to 1 Apr 2007)
Angela Emma Jordan
IRN AEJ00010
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 27 Feb 2002)
Anthony Michael Locke
IRN AML00006
- CF21 Investment Adviser (1 Dec 2001 to 16 Jun 2006)
Caroline Susan Katnoria
IRN CSK00005
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 22 May 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.