The Ethical Partnership Limited

• Principal Place of Business

  16 Borrowby Avenue

  Northallerton

  North Yorkshire

  DL6 1AL

  UNITED KINGDOM

  Phone

  +4401609771197

  Web

  https://www.the-ethical-partnership.co.uk

• Complaints Contact

  16 Borrowby Avenue

  Northallerton

  North Yorkshire

  DL6 1AL

  UNITED KINGDOM

  Phone

  +4401609771197

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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 Hide 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

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

• Equity Release Arranging

  For Customer, Home reversion plans

• 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, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Celia Clare Bennett

  IRN CCB00009

  • CF30 Customer (2 Jan 2013 to 30 Dec 2013)
  • CF1 Director (2 Jan 2013 to 30 Dec 2013)
• Derek William Vivian

  IRN DWV00003

  • CF22 Investment Adviser (Trainee) (1 Feb 2002 to 27 Feb 2002)
  • CF1 Director (1 Feb 2002 to 27 Feb 2002)
• Elizabeth Anne MacKenzie

  IRN EAM00010

  • CF30 Customer (5 Sep 2012 to 19 Apr 2013)
  • CF1 Director (5 Sep 2012 to 25 Apr 2013)
• Gregory Charles Braithwaite

  IRN GCB00008

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (20 Dec 2001 to 31 Oct 2007)
  • CF1 Director (20 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (20 Dec 2001 to 31 Oct 2007)
• Jeremy David Newbegin

  IRN JDN00008

  • CF30 Customer (1 Nov 2007 to 28 Dec 2012)
  • Responsible for Insurance Mediation (14 Jan 2005 to 1 Jan 2013)
  • CF10 Compliance Oversight (21 Jun 2002 to 1 Jan 2013)
  • CF21 Investment Adviser (4 Jan 2002 to 31 Oct 2007)
  • CF1 Director (4 Jan 2002 to 24 Apr 2014)
• John Fenton Morton

  IRN JFM00003

  • CF30 Customer (1 Nov 2007 to 30 Apr 2009)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 21 Jun 2002)
  • CF1 Director (1 Dec 2001 to 30 Apr 2009)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 21 Jun 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 21 Jun 2002)
• Michael James Marsden

  IRN MJM00010

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (31 May 2005 to 8 Dec 2019)
  • CF21 Investment Adviser (31 May 2005 to 31 Oct 2007)
• Robert Simon Kirkup

  IRN RSK00007

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsible for Insurance Mediation (7 Mar 2013 to 30 Sep 2018)
  • CF10 Compliance Oversight (7 Mar 2013 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (27 Jul 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (21 Jun 2002 to 31 Mar 2009)
  • CF21 Investment Adviser (20 Dec 2001 to 31 Oct 2007)
  • CF1 Director (20 Dec 2001 to 8 Dec 2019)
• Timothy Austin Mellish

  IRN TAM00003

  • SMF3 Executive Director (9 Dec 2019 to 4 Nov 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 22 Nov 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Nov 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 22 Nov 2021)
  • CF1 Director (30 Jan 2012 to 8 Dec 2019)
  • CF30 Customer (30 Jan 2012 to 8 Dec 2019)
• Tomas Richard Pyart

  IRN TRP01045

  • [FCA CF] Significant management (9 Dec 2019 to 4 Apr 2022)
  • SMF3 Executive Director (9 Dec 2019 to 4 Apr 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 13 Mar 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Mar 2023)
  • CF1 Director (10 Feb 2017 to 8 Dec 2019)
  • CF30 Customer (25 Nov 2014 to 8 Dec 2019)

No changes recorded yet.