Swee Li

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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.

P2P Lending Advice

For Commercial, Retail (Non-Investment Insurance)
Investment Advice (no pensions)

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
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- · Subject to this activity being limited to a non-mainstream regulated 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 Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
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- · Subject to this activity being limited to a non-mainstream regulated activity
Insurance Admin

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
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- · Subject to this activity being limited to a non-mainstream regulated activity
Credit Brokering
Stockbroking

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
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- · Subject to this activity being limited to a non-mainstream regulated activity
Investment Setup

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
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- · Subject to this activity being limited to a non-mainstream regulated activity

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

Swee Li
IRN SXL01416
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- Sole trader dealing with clients for which they require qualification (since 4 Mar 2021)

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.