THE FINANCIAL PRACTICE (UK) LIMITED

Date authorised
1 April 2013
Companies House
05501345
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The Financial Practice UK Ltd
    Unit C5
    North Road
    Bridgend Industrial Estate
    Bridgend
    CF31 3TP
    UNITED KINGDOM
    Phone
    +4401656643852

  • Complaints Contact

    The Financial Practice UK Ltd
    Unit C5
    North Road
    Bridgend Industrial Estate
    Bridgend
    CF31 3TP
    UNITED KINGDOM
    Phone
    +4401656643852

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
    • · 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.
    • · 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 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

  • 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

  • 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

Approved individuals

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

  • Andrew Steven Forster

    IRN ASF00007

    • CF10 Compliance Oversight (1 Sep 2011 to 24 Dec 2012)
    • CF1 Director (1 Sep 2011 to 24 Dec 2012)
    • CF30 Customer (1 Nov 2007 to 24 Dec 2012)
    • CF21 Investment Adviser (3 Oct 2005 to 31 Oct 2007)
  • Brinley George

    IRN GXB00106

    • CF30 Customer (1 Nov 2007 to 7 Dec 2011)
    • CF1 Director (3 Oct 2005 to 7 Dec 2011)
    • CF21 Investment Adviser (3 Oct 2005 to 31 Oct 2007)
    • Responsible for Insurance Mediation (3 Oct 2005 to 7 Dec 2011)
  • Gerald Robson Tait

    IRN GRT00013

    • CF30 Customer (1 Nov 2007 to 24 Dec 2012)
    • CF21 Investment Adviser (3 Oct 2005 to 31 Oct 2007)
  • Paul Lawrence

    IRN PXL00070

    • 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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] CASS oversight function (since 13 Apr 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (3 Oct 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Oct 2005 to 6 Sep 2011)
    • CF11 Money Laundering Reporting (3 Oct 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (3 Oct 2005 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (3 Oct 2005 to 31 Mar 2009)
  • Stephen John Edwards

    IRN SJE00009

    • CF21 Investment Adviser (3 Oct 2005 to 24 Oct 2005)

Recent activity

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

No changes recorded yet.