West Wake Price LLP

Date authorised
30 June 2010
Companies House
OC346256
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The Mezzanine Floor
    68 Cornhill
    London
    EC3V 3QX
    UNITED KINGDOM
    Phone
    +4407540636187
    Web
    https://www.westwakeprice.co.uk

  • Complaints Contact

    The Mezzanine Floor
    68 Cornhill
    London
    EC3V 3QX
    UNITED KINGDOM
    Phone
    +4407540636187

What this firm is allowed to do

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

  • P2P Lending Advice

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

  • Investment Advice (no pensions)

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

    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 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

    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.

  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Retail (Investment), 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, 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

    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 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    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.

  • Lesley Joyce Lang

    IRN LJL01031

    • CF30 Customer (30 Jun 2010 to 31 Mar 2014)
  • Michael John Peters

    IRN MJP01204

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • Responsible for Insurance Distribution (since 16 Aug 2021)
    • SMF16 Compliance Oversight (since 16 Aug 2021)
    • [FCA CF] Significant management (since 1 Apr 2020)
    • [FCA CF] Benchmark submission and administration (since 1 Apr 2020)
    • [FCA CF] CASS oversight function (since 1 Apr 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (30 Jun 2010 to 8 Dec 2019)
    • CF30 Customer (30 Jun 2010 to 8 Dec 2019)
    • CF4 Partner (30 Jun 2010 to 8 Dec 2019)
  • Michael John Silcock

    IRN MJS01315

    • Responsible for Insurance Mediation (30 Jun 2010 to 31 Mar 2014)
    • CF10 Compliance Oversight (30 Jun 2010 to 31 Mar 2014)
    • CF30 Customer (30 Jun 2010 to 31 Mar 2014)
    • CF4 Partner (30 Jun 2010 to 31 Mar 2014)

Recent activity

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

No changes recorded yet.