Shailesh Poptani

Date authorised
23 February 2010
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    16 Hatfield Road
    Potters Bar
    Hertfordshire
    EN6 1HN
    UNITED KINGDOM
    Phone
    +447958992223
    Web
    https://poptanifs.com

  • Complaints Contact

    16 Hatfield Road
    Potters Bar
    Hertfordshire
    EN6 1HN
    UNITED KINGDOM
    Phone
    +4407958992223

What this firm is allowed to do

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

  • 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.

  • Authorised to Operate

    Show 1 limitation
    • · 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

    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.

  • 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.

  • Shailesh Shamaldas Poptani

    IRN SXP00075

    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (23 Feb 2010 to 8 Dec 2019)
    • CF30 Customer (23 Feb 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (23 Feb 2010 to 8 Dec 2019)

Recent activity

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

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