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

  Show 2 limitations Hide limitations

  • · 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

  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, 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

  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

• Credit Brokering

  Show 1 limitation Hide limitations

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

• Debt Advice

  Show 2 limitations Hide limitations

  • · 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

  Show 2 limitations Hide limitations

  • · 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

  Show 2 limitations Hide limitations

  • · 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

  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.

• Credit Score Services

  Show 1 limitation Hide limitations

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

• Jason Mark Lang

  IRN JML00015

  • CF22 Investment Adviser (Trainee) (28 Aug 2002 to 15 Nov 2002)
• Jerry Howard Green

  IRN JHG00005

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
• John Ernest Mott

  IRN JEM00022

  • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2020)
  • Responsible for Insurance Distribution (1 Oct 2018 to 31 Dec 2020)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 31 Dec 2020)
  • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF14 Risk Assessment (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 19 Aug 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 9 Jan 2018)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• John Gavin Graham

  IRN JGG00015

  • CF30 Customer (1 Nov 2007 to 7 Feb 2013)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• John Gordon Chadwick

  IRN JGC01072

  • CF22 Investment Adviser (Trainee) (2 Apr 2002 to 11 Apr 2002)
• John Warwick Busfield

  IRN WXB00029

  • CF22 Investment Adviser (Trainee) (27 Jan 2003 to 10 Apr 2003)
• Jonathan Charles Bray

  IRN JCB00080

  • CF21 Investment Adviser (1 Dec 2001 to 11 Apr 2002)
• Lee McGuire

  IRN LXM01225

  • CF22 Investment Adviser (Trainee) (10 Mar 2004 to 28 Jul 2004)
• Mark Briggs

  IRN MXB00102

  • CF21 Investment Adviser (1 Dec 2001 to 22 Mar 2002)
• Mohammed Idris

  IRN MXI00014

  • CF21 Investment Adviser (1 Dec 2001 to 22 Mar 2002)

No changes recorded yet.