STERLING ASSET MANAGEMENT LTD

Date authorised
13 October 2014
Companies House
08406077
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Llwynderw
    Penrhyncoch
    Aberystwyth
    Ceredigion
    SY23 3EH
    UNITED KINGDOM
    Phone
    +441970617622
    Web
    https://www.sterling-a-m.com

  • Complaints Contact

    Llwynderw
    Penrhyncoch
    Aberystwyth
    Ceredigion
    SY23 3EH
    UNITED KINGDOM
    Phone
    +441970617622

What this firm is allowed to do

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

  • P2P Lending Advice

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

  • Pension Transfer Advice

    For 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
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
    • · 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, 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
    • · 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.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, 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
    • · 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.

  • Buy-to-Let Start Date

  • Buy-to-Let End Date

  • Buy-to-Let Status

  • Credit Brokering

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • Investment Setup

    For Commercial, 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
    • · 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.

Approved individuals

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

  • Jonathan David Evans

    IRN JDE01046

    • CF30 Customer (13 Jun 2017 to 24 Jul 2017)
  • Jonathan James Gibson

    IRN JJG00003

    • Responsible for Insurance Distribution (1 Oct 2018 to 7 Mar 2019)
    • Responsibility for MCD Intermediation (21 Jul 2016 to 7 Mar 2019)
    • Responsible for Insurance Mediation (13 Oct 2014 to 15 Jul 2016)
    • CF30 Customer (13 Oct 2014 to 7 Mar 2019)
    • CF11 Money Laundering Reporting (13 Oct 2014 to 7 Mar 2019)
    • CF1 Director (13 Oct 2014 to 7 Mar 2019)
  • Peter Thomas Rees

    IRN PTR00005

    • 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)
    • 9A. Advising on P2P agreements
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • CF30 Customer (20 Oct 2014 to 8 Dec 2019)
  • Robert John Mills

    IRN RJM00115

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 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] Client dealing (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 20 Feb 2019)
    • Responsibility for MCD Intermediation (20 Feb 2019 to 30 Sep 2022)
    • CF11 Money Laundering Reporting (20 Feb 2019 to 8 Dec 2019)
    • CF30 Customer (13 Oct 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Oct 2014 to 8 Dec 2019)
    • CF1 Director (13 Oct 2014 to 8 Dec 2019)
  • Tyler Theobald

    IRN TXT00090

    • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 9 Jul 2021)

Recent activity

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

No changes recorded yet.