RMB FINANCIAL MANAGEMENT (UK) LIMITED

Date authorised
1 April 2013
Companies House
04799241
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1st Floor
    9 St James' Business Park
    Knaresborough
    N Yorkshire
    HG5 8QB
    UNITED KINGDOM
    Phone
    +4401423544700
    Web
    https://www.rmbfm.co.uk

  • Complaints Contact

    1st Floor
    9 St James' Business Park
    Knaresborough
    North Yorkshire
    HG5 8QB
    UNITED KINGDOM
    Phone
    +4401423544700

What this firm is allowed to do

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

  • Pension Transfer Advice

    For Professional, 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

    Show 2 limitations
    • · 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.

  • 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

    Show 1 limitation
    • · 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.

  • 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management 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

    Show 1 limitation
    • · 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.

Approved individuals

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

  • Clare Elizabeth King

    IRN CEK01020

    • SMF3 Executive Director (9 Dec 2019 to 14 Dec 2023)
    • CF30 Customer (17 Nov 2008 to 12 Mar 2009)
    • CF1 Director (17 Nov 2008 to 8 Dec 2019)
  • Hayden Robert Burland

    IRN HRB01023

    • CF30 Customer (17 Nov 2008 to 24 Nov 2008)
    • CF1 Director (17 Nov 2008 to 30 Dec 2010)
  • Michael Andrew Burnside

    IRN MAB00088

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Dec 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 14 Dec 2023)
    • SMF3 Executive Director (9 Dec 2019 to 14 Dec 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 14 Dec 2023)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 29 Mar 2022)
    • CF8 Apportionment and Oversight (17 Nov 2008 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (17 Nov 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (17 Nov 2008 to 8 Dec 2019)
    • CF1 Director (17 Nov 2008 to 8 Dec 2019)
    • Responsible for Insurance Mediation (17 Nov 2008 to 30 Sep 2018)
    • CF30 Customer (17 Nov 2008 to 8 Dec 2019)
  • Niall Joseph Gunn

    IRN NJG00003

    • Responsible for Insurance Distribution (since 6 Dec 2023)
    • SMF16 Compliance Oversight (since 6 Dec 2023)
    • SMF1 Chief Executive (since 6 Dec 2023)
    • SMF3 Executive Director (since 6 Dec 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Dec 2023)
  • Nigel David Jose Fawcett

    IRN NDF00005

    • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2019)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2019)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2019)
    • CF1 Director (17 Nov 2008 to 8 Dec 2019)
    • CF30 Customer (17 Nov 2008 to 8 Dec 2019)
  • Raghav Behl

    IRN RXB00598

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 17 Mar 2025)
    • [FCA CF] Functions requiring qualifications (since 17 Mar 2025)

Recent activity

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

No changes recorded yet.