S&W Partners Corporate Finance 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.

Investment Advice (no pensions)

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Investment Setup

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

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

Paul William Stricker
IRN PWS01055
- CF30 Customer (15 Jun 2018 to 31 May 2019)
Peter Damian Maher
IRN PDM00006
- CF1 Director (5 May 2015 to 30 May 2018)
Peter Frank Hazell
IRN PFH01042
- CF2 Non Executive Director (5 Jan 2016 to 30 Nov 2016)
Peter Hepburn Deming
IRN PHD01037
- [FCA CF] Material risk taker (1 Oct 2024 to 2 Oct 2024)
- Director of firm who is not a certification employee or a SMF manager (1 Sep 2020 to 31 Jul 2024)
Peter John Stone
IRN PJS01187
- CF2 Non Executive Director (15 Nov 2002 to 25 Mar 2003)
Peter Luis Fernandes
IRN PLF01012
- [FCA CF] Significant management (4 Nov 2020 to 9 Dec 2021)
- [FCA CF] Material risk taker (4 Nov 2020 to 9 Dec 2021)
- SMF3 Executive Director (9 Dec 2019 to 1 Sep 2020)
- CF1 Director (22 Jan 2016 to 8 Dec 2019)
Phil Fabian
IRN PXF00185
- [FCA CF] Significant management (22 Jul 2022 to 8 Dec 2024)
Philip Aidan Quigley
IRN PAQ01004
- CF30 Customer (1 Nov 2007 to 28 May 2019)
- CF23 Corporate Finance Adviser (15 Nov 2002 to 31 Oct 2007)
- CF1 Director (15 Nov 2002 to 5 Dec 2002)
Philip Best
IRN PWB01061
- SMF16 Compliance Oversight (9 Dec 2019 to 1 Dec 2023)
- SMF4 Chief Risk (9 Dec 2019 to 1 Dec 2023)
- CF10 Compliance Oversight (28 Jan 2019 to 8 Dec 2019)
- CF28 Systems and controls (28 Jan 2019 to 8 Dec 2019)
Philip Edward Moody
IRN PEM01040
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF23 Corporate Finance Adviser (2 Apr 2007 to 31 Oct 2007)
- CF1 Director (19 Sep 2006 to 1 Jul 2014)

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

No changes recorded yet.

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.