SLG Financial Solutions Limited

• Principal Place of Business

  Foundry

  3 Ellen Street

  Hove

  Brighton and Hove

  BN3 3LN

  UNITED KINGDOM

  Phone

  +4401273749641

  Web

  https://www.slgfinancialsolutions.co.uk

• Complaints Contact

  Foundry

  3 Ellen Street

  Hove

  Brighton and Hove

  BN3 3LN

  UNITED KINGDOM

  Phone

  +4401273749641

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

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

• Pension Transfer Advice

  For Professional, Retail (Investment), Personal pension scheme, Stakeholder pension scheme

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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 Hide limitations

  • · 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

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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 Hide limitations

  • · 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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 Hide limitations

  • · 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.

• Adrian Goord

  IRN AXG01609

  • CF1 Director (20 Nov 2012 to 15 Nov 2018)
  • CF30 Customer (6 Feb 2012 to 15 Nov 2018)
• Alma Denise Gicquel

  IRN ADG01130

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (26 Nov 2014 to 8 Dec 2019)
• James Murphy

  IRN JXM04016

  • CF30 Customer (1 Oct 2018 to 8 Dec 2019)
• Paul Hood

  IRN PXH01277

  • CF30 Customer (1 Aug 2017 to 8 Dec 2019)
• Stephen Lee Gicquel

  IRN SSG01026

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 11. Pension transfer specialist
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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] CASS oversight function (since 9 Dec 2019)
  • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Algorithmic trading (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [PRA CF] Significant risk taker or Material risk taker (since 9 Dec 2019)
  • [PRA CF] Managing a material risk taker (since 9 Dec 2019)
  • [PRA CF] Key function holder (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • [FCA CF] Proprietary trader (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF10 Compliance Oversight (6 Feb 2012 to 8 Dec 2019)
  • CF30 Customer (6 Feb 2012 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (6 Feb 2012 to 8 Dec 2019)
  • Responsible for Insurance Mediation (6 Feb 2012 to 30 Sep 2018)
  • CF1 Director (6 Feb 2012 to 8 Dec 2019)

No changes recorded yet.