THE ROCK - FINANCIAL MANAGEMENT COMPANIES LTD

• Principal Place of Business

  The Rock F M C Ltd

  Suite 202

  Equitable House

  7 General Gordon Square

  London

  Greenwich

  SE18 6FH

  UNITED KINGDOM

  Phone

  +442036742929

  Web

  https://therockfmc.co.uk

• Complaints Contact

  The Rock F M C Ltd

  Suite 202

  Equitable House

  7 General Gordon Square

  London

  Greenwich

  SE18 6FH

  UNITED KINGDOM

  Phone

  +442036742929

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Professional, Retail (Investment)

• 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

  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.

• 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

  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

• Debt Advice

  Show 1 limitation Hide limitations

  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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, 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.

• Adu-Ansere Apraku

  IRN AXA90687

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 16 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 16 Sep 2024)
• Kwasi Obuor-Asimpih

  IRN KAO01036

  • 4. Giving personal recommendations on retail investment products which are not 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
  • 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
  • SMF3 Executive Director (since 1 Jun 2021)
  • Responsibility for MCD Intermediation (since 1 Jun 2021)
  • Responsible for Insurance Distribution (since 1 Jun 2021)
  • SMF16 Compliance Oversight (since 1 Jun 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Jun 2021)
  • [FCA CF] Client dealing (since 1 Jun 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Jun 2021)
• Mohammed Azim IQBAL

  IRN MXI00140

  • 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
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 3 Mar 2025)
  • [FCA CF] Functions requiring qualifications (since 3 Mar 2025)
  • CF30 Customer (23 Aug 2022 to 28 Mar 2025)
  • Appointed representative dealing with clients for which they require qualification (23 Aug 2022 to 2 Mar 2025)
• NANA NYARKOA TETTEH

  IRN NXT00232

  • CF30 Customer (18 May 2024 to 4 Nov 2024)
• Narian Lincoln

  IRN NXL00166

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 2 Oct 2023)

• NANA NYARKOA TETTEH (no longer appointed)

  FRN 1013098 · Appointed 18 May 2024 · Until 28 Oct 2024

• MOHAMMED AZIM IQBAL (no longer appointed)

  FRN 980590 · Appointed 9 Aug 2022 · Until 28 Oct 2024 · Tied agent

No changes recorded yet.