SMG F.S LIMITED

• Principal Place of Business

  6A Harewood Yard

  Harewood

  Leeds

  West Yorkshire

  LS17 9LF

  UNITED KINGDOM

  Phone

  +4401133873470

  Web

  https://www.smgfs.com

• Complaints Contact

  6A Harewood Yard

  Harewood

  Leeds

  West Yorkshire

  LS17 9LF

  UNITED KINGDOM

  Phone

  +4401133873470

• P2P Lending Advice

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

• Pension Transfer Advice

  For Eligible Counterparty, 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

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · 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, Eligible Counterparty, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, Eligible Counterparty, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Credit Brokering

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  • · Limited to not brokering credit for the purpose of increasing the funds available for investment

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity
  • · Limited to debt counselling which is provided in connection with investment advice and buy-to-let mortgages and second charge mortgages.

• Consumer Loans

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  • · Limited to lending that is in connection with the repayment of fees which are only for ongoing services or regular premiums
  • · This permission is limited to exercising the rights and duties of loans which the firm carries on as a supplier - and (i) no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement;(ii) the regulated credit agreement is not a hire-purchase agreement or a conditional sale agreement; and (iii) unless the firm is a not-for profit body, the obligation of the borrower to repay is not secured, and is not to be secured, by a legal mortgage on land

• Loan Servicing

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  • · Limited to lending that is in connection with the repayment of fees which are only for ongoing services or regular premiums
  • · This permission is limited to exercising the rights and duties of loans which the firm carries on as a supplier - and (i) no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement;(ii) the regulated credit agreement is not a hire-purchase agreement or a conditional sale agreement; and (iii) unless the firm is a not-for profit body, the obligation of the borrower to repay is not secured, and is not to be secured, by a legal mortgage on land

• Investment Setup

  For Commercial, Eligible Counterparty, 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.

• Credit Score Services

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  • · This permission is limited to not carrying out credit repair services

• Alan Alderson

  IRN AXA00063

  • CF21 Investment Adviser (4 Dec 2006 to 12 Jan 2007)
  • CF22 Investment Adviser (Trainee) (4 Jan 2005 to 4 Dec 2006)
• Alan Benn-Landale

  IRN AXB00206

  • CF30 Customer (1 Nov 2007 to 1 Oct 2010)
  • CF21 Investment Adviser (26 Apr 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (17 May 2002 to 26 Apr 2005)
• Andrew Barron

  IRN AXB02847

  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (5 Oct 2017 to 8 Dec 2019)
• Andrew Douglas Byard

  IRN ADB01133

  • CF13 Finance (13 May 2002 to 14 Aug 2003)
  • CF1 Director (13 May 2002 to 14 Aug 2003)
• Andrew Spencer Keep

  IRN ASK00013

  • CF30 Customer (1 Nov 2007 to 8 Jan 2010)
  • CF1 Director (1 Dec 2001 to 8 Jan 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Barrington Mark Donald Orr

  IRN BXO00008

  • CF30 Customer (1 Nov 2007 to 20 Apr 2017)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Ben Christmas

  IRN BXC00172

  • [FCA CF] Client dealing (19 May 2021 to 15 Dec 2022)
  • [FCA CF] Functions requiring qualifications (19 May 2021 to 15 Dec 2022)
• Charles Gerald Smith

  IRN CGS00009

  • CF22 Investment Adviser (Trainee) (12 Jul 2002 to 31 Oct 2003)
• Christopher Thomas Corcoran

  IRN CTC00001

  • CF22 Investment Adviser (Trainee) (2 Jan 2003 to 25 Apr 2003)
• Colin Vickers

  IRN CXV01081

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (11 Oct 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (9 Jan 2018 to 8 Dec 2019)

No changes recorded yet.