Richmonde Laine Wealth Management Ltd

• Principal Place of Business

  18 Station Approach

  Bradford-on-Avon

  Wiltshire

  BA15 1FQ

  UNITED KINGDOM

  Phone

  +4401225869090

  Web

  https://richmondelaine.co.uk

• Complaints Contact

  18 Station Approach

  Bradford-on-Avon

  Wiltshire

  BA15 1FQ

  UNITED KINGDOM

  Phone

  +4401225869090

• P2P Lending Advice

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

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, 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 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.

• 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), 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.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• Investment Setup

  For Customer, 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.

• Brian Philip Bishop

  IRN BPB00001

  • CF22 Investment Adviser (Trainee) (5 Oct 2004 to 1 Jul 2007)
• Malcolm Greenaway

  IRN MXG00114

  • CF30 Customer (1 Nov 2007 to 1 Dec 2009)
  • CF21 Investment Adviser (21 Sep 2004 to 31 Oct 2007)
• Marcus David Hamblin

  IRN MDH00015

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 16 Apr 2020)
  • [FCA CF] Manager of certification employee (since 16 Apr 2020)
  • [FCA CF] Client dealing (since 16 Apr 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (21 Sep 2004 to 8 Dec 2019)
  • CF1 Director (21 Sep 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (21 Sep 2004 to 31 Mar 2009)
  • CF24 Pension Transfer Specialist (21 Sep 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (21 Sep 2004 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (21 Sep 2004 to 8 Dec 2019)
• Paul Lewis Tadman

  IRN PLT00006

  • 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
  • [FCA CF] Functions requiring qualifications (since 16 Apr 2020)
  • [FCA CF] Client dealing (since 16 Apr 2020)
  • CF30 Customer (1 Jan 2018 to 8 Dec 2019)
• Trudy Elizabeth Gardner

  IRN TEG00001

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (21 Sep 2004 to 8 Dec 2019)

No changes recorded yet.