ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED

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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.

Richard Miles Broughton
IRN RMB00005
- (1343)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard Paul Ash
IRN RPA00010
- (1769)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard Paul Toll
IRN RPT00001
- (1386)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard Peter Jacques Janvier
IRN RPJ00001
- (2055)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard Wadeson
IRN RXW00013
- (51)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard William Horton
IRN RWH00004
- (668)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard William Pollock
IRN RWP00029
- (2077)CF21 Investment Adviser (13 May 2002 to 3 Jun 2003)
Richard William Reith
IRN RWR00010
- (2121)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Robert Alastair Briggs
IRN RAB00022
- (1645)CF22 Investment Adviser (Trainee) (9 Jun 2003 to 9 Jun 2003)
Robert Andrew Hughes
IRN RAH01174
- (343)CF22 Investment Adviser (Trainee) (29 May 2002 to 3 Apr 2003)

Smaller firms operating under this firm's FCA authorisation.

Reid & Co Trust & Estate Planning (no longer appointed)
FRN 225353 · Appointed 3 Jun 2003 · Until 3 Jun 2004
Fundamental Leisure Ltd (no longer appointed)
FRN 225356 · Appointed 3 Jun 2003 · Until 3 Jun 2004
Primrose Associates Limited (no longer appointed)
FRN 225355 · Appointed 3 Jun 2003 · Until 24 Nov 2004
Complete Mortgage Centre Ltd (no longer appointed)
FRN 225354 · Appointed 3 Jun 2003 · Until 3 Jun 2004
Mortgage Hut Ltd (no longer appointed)
FRN 225014 · Appointed 15 May 2003 · Until 8 Dec 2004
Penney Partnership Ltd (no longer appointed)
FRN 224994 · Appointed 14 May 2003 · Until 3 Jun 2004
Nicholas Slater & Co Ltd (no longer appointed)
FRN 224995 · Appointed 14 May 2003 · Until 3 Jun 2004
Alison Rigg Limited (no longer appointed)
FRN 224993 · Appointed 14 May 2003 · Until 3 Jun 2004
The Bespoke Mortgage Company (no longer appointed)
FRN 224996 · Appointed 14 May 2003 · Until 3 Jun 2004
Mortgage Line Services (no longer appointed)
FRN 224341 · Appointed 14 Apr 2003 · Until 3 Jun 2004

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

2 days ago
controlled function added: (74)SMF24 Chief Operations
2 days ago
controlled function added: (73)SMF18 Other Overall Responsibility
2 days ago
controlled function added: (72)[FCA CF] Manager of certification employee
2 days ago
controlled function added: (71)[FCA CF] Material risk taker
2 days ago
controlled function added: (70)SMF7 Group Entity Senior Manager
2 days ago
controlled function added: (69)SMF5 Head of Internal Audit
2 days ago
controlled function added: (68)SMF18 Other Overall Responsibility
2 days ago
controlled function added: (67)SMF1 Chief Executive
2 days ago
controlled function added: (66)SMF3 Executive Director
2 days ago
controlled function added: (65)SMF18 Other Overall Responsibility

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.