ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED

Watch for changes

Addresses

The contact details this firm has registered with the FCA.

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

Senior staff personally approved by the FCA to hold their roles here.

Deborah Leslie Guise
IRN DLG00014
- (1233)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Deborah Valerie Morris
IRN DVM00001
- (819)CF22 Investment Adviser (Trainee) (1 Dec 2001 to 26 Apr 2002)
Debra Jane McKenna
IRN DJM01605
- (2173)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 May 2021)
- (2174)CF11 Money Laundering Reporting (30 Mar 2012 to 8 Dec 2019)
Dee Mary Hamilton
IRN DMH00007
- (693)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Deidre Catherine Connolly
IRN DXC00027
- (612)CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2002)
Dennis Frank Guise
IRN DFG00009
- (1141)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Dennis Keith Johnson
IRN DKJ00004
- (1195)CF21 Investment Adviser (1 Dec 2001 to 8 Jan 2002)
Derek Alan Kyiet
IRN DAK00001
- (506)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Derek Charles Palmer
IRN DCP00003
- (1127)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Derek Forrest
IRN DXF00039
- (1330)CF21 Investment Adviser (30 Jan 2003 to 3 Jun 2003)
- (1329)CF22 Investment Adviser (Trainee) (10 Jul 2002 to 30 Jan 2003)

Smaller firms operating under this firm's FCA authorisation.

Peterman and Company (no longer appointed)
FRN 174921 · Appointed 31 Dec 1963 · Until 3 Jun 2004
Association of Cost and Executive Accountants (no longer appointed)
FRN 175432 · Appointed 1 Jan 1958 · Until 3 Jun 2004
Jim Raw-Rees and Co (no longer appointed)
FRN 181841 · Appointed 1 Jan 1948 · Until 25 Jul 2003
James & Lister Lea (no longer appointed)
FRN 201069 · Appointed 1 Jan 1946 · Until 3 Jun 2004
Fire Officers Association (no longer appointed)
FRN 175326 · Appointed 1 Jan 1942 · Until 3 Jun 2004
Woolley & Wallis (no longer appointed)
FRN 201204 · Appointed 1 Jan 1884 · Until 3 Jun 2004

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

9 hours ago
controlled function added: (14)[FCA CF] Client dealing
9 hours ago
controlled function added: (13)14. Managing investments
9 hours ago
controlled function added: (12)[FCA CF] Functions requiring qualifications
9 hours ago
controlled function added: (11)[FCA CF] Client dealing
9 hours ago
controlled function added: (10)14. Managing investments
9 hours ago
controlled function added: (9)[FCA CF] Significant management
9 hours ago
controlled function added: (8)[FCA CF] Material risk taker
9 hours ago
controlled function added: (7)[FCA CF] Significant management
9 hours ago
controlled function added: (6)[FCA CF] Manager of certification employee
9 hours ago
controlled function added: (5)[FCA CF] Functions requiring qualifications

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.