Torphin Financial Planning Ltd

Date authorised
18 June 2014
Companies House
SC470599
Last scraped
1 day ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    EH20 Business Centre
    6 Dryden Road
    Loanhead
    Midlothian
    EH20 9LZ
    UNITED KINGDOM
    Phone
    +441314481020
    Web
    https://www.torphin.co.uk

  • Complaints Contact

    EH20 Business Centre
    6 Dryden Road
    Loanhead
    Midlothian
    EH20 9LZ
    UNITED KINGDOM
    Phone
    +441314481020

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Retail (Investment), Professional, Retail (Non-Investment Insurance)

  • Pension Transfer Advice

    For Professional, Retail (Investment), Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Unit, Life Policy, Stakeholder pension scheme, Personal pension scheme

    Show 2 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.

  • Investment Advice (no pensions)

    For Retail (Investment), Professional, Retail (Non-Investment Insurance), Structured Deposits, Share, Government and public security, Warrant, Certificates representing certain security, Unit, Debenture, Personal pension scheme, Stakeholder pension scheme, Rights to or interests in investments (Security), Life Policy, Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Retail (Investment), Professional, Retail (Non-Investment Insurance), Structured Deposits, Share, Government and public security, Warrant, Certificates representing certain security, Unit, Debenture, Personal pension scheme, Stakeholder pension scheme, Rights to or interests in investments (Security), Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments, Non-investment insurance contracts

    Show 1 limitation
    • · 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.

  • Investment Setup

    For Retail (Investment), Professional, Retail (Non-Investment Insurance), Structured Deposits, Share, Government and public security, Warrant, Certificates representing certain security, Unit, Debenture, Personal pension scheme, Stakeholder pension scheme, Rights to or interests in investments (Security), Life Policy, Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts, Rights to or interests in investments

    Show 1 limitation
    • · 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.

Approved individuals

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

  • Duncan David Gay

    IRN DXG01912

    • (2)[FCA CF] Client dealing (27 Oct 2020 to 31 May 2025)
    • (3)[FCA CF] Functions requiring qualifications (27 Oct 2020 to 31 May 2025)
    • (1)CF30 Customer (13 Jun 2016 to 8 Dec 2019)
  • Thomas Henderson Grant MacDonald

    IRN THM00001

    • (2)4. Giving personal recommendations on retail investment products which are not broker funds
    • (1)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)[FCA CF] Client dealing (since 27 Oct 2020)
    • (8)[FCA CF] Functions requiring qualifications (since 27 Oct 2020)
    • (6)SMF3 Executive Director (since 9 Dec 2019)
    • (4)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (5)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (3)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (6)CF11 Money Laundering Reporting (18 Jun 2014 to 8 Dec 2019)
    • (7)CF10 Compliance Oversight (18 Jun 2014 to 8 Dec 2019)
    • (5)CF30 Customer (18 Jun 2014 to 8 Dec 2019)
    • (8)CF1 Director (18 Jun 2014 to 8 Dec 2019)
    • (4)Responsible for Insurance Mediation (18 Jun 2014 to 30 Sep 2018)

Recent activity

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

  1. controlled function added: (7)CF10 Compliance Oversight

  2. controlled function added: (6)CF11 Money Laundering Reporting

  3. controlled function added: (5)CF30 Customer

  4. controlled function added: (4)Responsible for Insurance Mediation

  5. controlled function added: (3)[FCA CF] Functions requiring qualifications

  6. controlled function added: (2)[FCA CF] Client dealing

  7. controlled function added: (1)CF30 Customer

  8. controlled function removed: SMF3 Executive Director

  9. controlled function removed: SMF16 Compliance Oversight

  10. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO)

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