The Matrix Model Group (UK) Ltd

• Principal Place of Business

  Queens Dock Business Centre

  67-83 Norfolk Street

  Liverpool

  Merseyside

  L1 0BG

  UNITED KINGDOM

  Phone

  +4401517089954

  Web

  https://www.matrixmodel.co.uk

• Complaints Contact

  Queens Dock Business Centre

  67-83 Norfolk Street

  Liverpool

  Merseyside

  L1 0BG

  UNITED KINGDOM

  Phone

  +4401517089954

• Investment Advice (no pensions)

  For 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

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  • · 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

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

• Arranges Investments

  For 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

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  • · 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.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• Investment Setup

  For 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 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.

• Anne Colette Cartwright

  IRN ACC00006

  • 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
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (25 Nov 2013 to 8 Dec 2019)
• Anthony Martin Batt

  IRN AMB00028

  • CF30 Customer (1 Nov 2007 to 1 Sep 2008)
  • CF1 Director (17 Nov 2004 to 1 Sep 2008)
  • CF21 Investment Adviser (17 Nov 2004 to 31 Oct 2007)
• Caroline Jane Whitaker

  IRN CJR00026

  • CF1 Director (17 Nov 2004 to 28 Feb 2007)
  • CF21 Investment Adviser (17 Nov 2004 to 28 Feb 2007)
• Gregory Gerard Garrett

  IRN GGG00006

  • CF21 Investment Adviser (3 Sep 2007 to 21 Sep 2007)
  • CF22 Investment Adviser (Trainee) (26 Jun 2007 to 3 Sep 2007)
  • CF1 Director (17 Nov 2004 to 26 Jun 2007)
• James Robert Edwards

  IRN JRE00023

  • CF21 Investment Adviser (24 Aug 2005 to 21 Jun 2006)
  • CF1 Director (24 Aug 2005 to 21 Jun 2006)
• James Stuart Liddell

  IRN JSL00007

  • CF30 Customer (6 Sep 2010 to 28 Dec 2012)
• Jody Elizabeth Banks

  IRN JEK01049

  • CF30 Customer (8 Sep 2008 to 1 Jan 2010)
  • CF1 Director (16 Jan 2007 to 30 Jul 2010)
• Kevin James Caple

  IRN KJC00008

  • CF30 Customer (1 Nov 2007 to 30 Jul 2010)
  • CF1 Director (17 Nov 2004 to 30 Jul 2010)
  • CF21 Investment Adviser (17 Nov 2004 to 31 Oct 2007)
• Martin Thomas Simms

  IRN MTS00006

  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [PRA CF] Key function holder (9 Dec 2019 to 29 Mar 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 29 Mar 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (17 Nov 2004 to 8 Dec 2019)
  • CF10 Compliance Oversight (17 Nov 2004 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (17 Nov 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (17 Nov 2004 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (17 Nov 2004 to 31 Mar 2009)
• Michael Alan Yeatman

  IRN MAY00001

  • CF30 Customer (1 Nov 2007 to 28 Dec 2012)
  • CF21 Investment Adviser (9 Mar 2005 to 31 Oct 2007)
  • CF1 Director (17 Nov 2004 to 18 May 2015)

No changes recorded yet.