VIE INTERNATIONAL FINANCIAL SERVICES LIMITED

• Principal Place of Business

  118 Piccadilly

  London

  W1J 7NW

  UNITED KINGDOM

  Phone

  +4402034571331

  Web

  https://www.vieinternational.com

• Complaints Contact

  118 Piccadilly

  London

  W1J 7NW

  UNITED KINGDOM

  Phone

  +442034571331

• P2P Lending Advice

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

• 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, 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 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, 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.

• 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, 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.

• Alexandra Louise Merz

  IRN AXM01715

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Client dealing (since 21 Aug 2023)
  • [FCA CF] Functions requiring qualifications (since 21 Aug 2023)
  • CF30 Customer (16 May 2017 to 8 Dec 2019)
• Audrey Lynn Klein

  IRN AXK01436

  • CF21 Investment Adviser (5 Oct 2005 to 23 Dec 2006)
  • CF1 Director (AR) (5 Oct 2005 to 23 Dec 2006)
• Deepak Shivakumar Alur

  IRN DSA01045

  • CF30 Customer (16 May 2017 to 15 Oct 2018)
• Grayson Michael Dufrene

  IRN GXD00003

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 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)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [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)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (18 Oct 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (18 Oct 2004 to 31 Oct 2007)
  • CF1 Director (18 Oct 2004 to 8 Dec 2019)
  • CF10 Compliance Oversight (18 Oct 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (18 Oct 2004 to 31 Mar 2009)
• Jack Robert Davies

  IRN JXD00698

  • 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
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2022)
  • [FCA CF] Client dealing (since 1 Dec 2022)
• John David Darer

  IRN JDD01079

  • CF30 Customer (1 Nov 2007 to 17 Feb 2009)
  • CF21 Investment Adviser (1 Jan 2005 to 31 Oct 2007)
• Karen Dufrene

  IRN KXD01547

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (15 May 2017 to 8 Dec 2019)
• Laurens Christiaan van den Hout

  IRN LCV01014

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (15 May 2017 to 8 Dec 2019)
• Richard Philip Newhams

  IRN RPN01015

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (24 Oct 2006 to 31 Oct 2007)
• Robert Richard Hall

  IRN RXH00008

  • CF30 Customer (1 Nov 2007 to 8 May 2015)
  • CF1 Director (18 Oct 2004 to 8 May 2015)
  • CF21 Investment Adviser (18 Oct 2004 to 31 Oct 2007)

• Caskar Partners LLC (no longer appointed)

  FRN 407661 · Appointed 5 Oct 2005 · Until 23 Dec 2006

• Summit Settlement Services (no longer appointed)

  FRN 439776 · Appointed 21 Sep 2005 · Until 23 Apr 2007

No changes recorded yet.