Thomson Cooper

• Principal Place of Business

  Castle Court

  Carnegie Campus

  Dunfermline

  Fife

  KY11 8PB

  UNITED KINGDOM

  Phone

  +441383628800

  Web

  https://www.thomsoncooper.com

• Complaints Contact

  Castle Court

  Carnegie Campus

  Dunfermline

  Fife

  KY11 8PB

  UNITED KINGDOM

  Phone

  +441383628800

• P2P Lending Advice

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Eligible Counterparty, 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

  • · 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, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• Authorised to Operate

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Credit Brokering

• Debt Negotiation

  Show 1 limitation Hide limitations

  • · Limited to debt adjusting excluding entering into, administering or operating debt management plans.

• Debt Advice

  Show 1 limitation Hide limitations

  • · Limited to Debt Counselling excluding entering into, administering or operating debt management plans.

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

• Alan Mitchell

  IRN AXM03351

  • SMF27 Partner (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 27 Jan 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 14 Nov 2023)
  • [PRA CF] Key function holder (9 Dec 2019 to 14 Nov 2023)
  • CF11 Money Laundering Reporting (23 Apr 2012 to 8 Dec 2019)
• Averil Loveridge

  IRN AXL01384

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Nov 2021)
  • CF30 Customer (9 Jan 2018 to 8 Dec 2019)
• Bruce Scott Hendry

  IRN BSH01016

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 20 Sep 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 20 Sep 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Sep 2024)
  • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
  • CF30 Customer (14 Jun 2018 to 8 Dec 2019)
• Craig Campbell

  IRN CXC01269

  • CF30 Customer (1 Nov 2007 to 31 Mar 2018)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
• David Mark Walker

  IRN DMW01116

  • SMF16 Compliance Oversight (9 Dec 2019 to 30 Nov 2021)
  • SMF27 Partner (9 Dec 2019 to 30 Nov 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
  • Responsible for Insurance Distribution (1 Oct 2018 to 30 Nov 2021)
  • CF30 Customer (1 Nov 2007 to 1 Aug 2011)
  • Responsible for Insurance Mediation (2 Aug 2005 to 30 Sep 2018)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 27 Apr 2012)
• Gary John Stirling

  IRN GJS01119

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2022)
  • [FCA CF] Client dealing (since 1 Apr 2022)
  • [PRA CF] Key function holder (9 Mar 2022 to 10 Mar 2022)
  • [FCA CF] Significant management (9 Mar 2022 to 10 Mar 2022)
• Gibson Mark Derek

  IRN GXM23380

  • SMF16 Compliance Oversight (since 14 Feb 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 26 Jan 2020)
  • SMF27 Partner (since 26 Jan 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
• RICHARD LIBBERTON

  IRN RXL01507

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
  • CF30 Customer (28 Jun 2019 to 8 Dec 2019)
• Richard Gardiner

  IRN RXG23383

  • SMF27 Partner (since 26 Jan 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)

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