Spence & Partners Limited

• Principal Place of Business

  Spence & Partners

  27-37 Adelaide Street

  Belfast

  Northern Ireland

  BT2 8FE

  UNITED KINGDOM

  Phone

  +4402890412000

  Web

  https://www.spenceandpartners.co.uk

• Complaints Contact

  6/1 Culzean House

  36 Renfield Street

  Glasgow

  Glasgow City

  G2 1LU

  UNITED KINGDOM

  Phone

  +441413319970

• P2P Lending Advice

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

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• Authorised to Operate

• Arranges Investments

  For Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Subject to this activity being limited to a non-mainstream regulated activity
  • · 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Investment Setup

  For Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Subject to this activity being limited to a non-mainstream regulated activity
  • · 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.

• Alan Mackenzie Collins

  IRN AMC01284

  • SMF16 Compliance Oversight (since 13 May 2024)
  • Responsible for Insurance Distribution (since 13 May 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 May 2024)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (31 Mar 2015 to 8 Dec 2019)
  • CF1 Director (27 Nov 2012 to 8 Dec 2019)
• Angela Burns

  IRN AXB00690

  • [FCA CF] Significant management (since 31 Mar 2021)
• Brendan McLean

  IRN BXM00212

  • [FCA CF] Significant management (9 Dec 2019 to 9 Sep 2022)
• Brian David Spence

  IRN BDS01024

  • CF30 Customer (1 Nov 2007 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)
  • CF1 Director (1 Dec 2001 to 9 Jun 2008)
• Brian Spence

  IRN BXS00199

  • [FCA CF] Significant management (9 Dec 2019 to 1 Mar 2024)
• Christopher Roberts

  IRN CXR00222

  • [FCA CF] Significant management (9 Dec 2019 to 26 Feb 2024)
• Cyril Gaffney

  IRN CXG00225

  • [FCA CF] Significant management (since 9 Dec 2019)
• David James Davison

  IRN DJD01190

  • SMF3 Executive Director (9 Dec 2019 to 30 Sep 2022)
  • CF1 Director (4 Dec 2012 to 8 Dec 2019)
• David Neal Copeland

  IRN DNC01037

  • SMF16 Compliance Oversight (9 Dec 2019 to 7 Jun 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Jun 2023)
  • SMF3 Executive Director (9 Dec 2019 to 30 Sep 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 30 Sep 2022)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• David Snailham

  IRN DXS00400

  • [FCA CF] Significant management (25 Mar 2021 to 29 Sep 2023)

No changes recorded yet.