Wilcocks & Associates Ltd

• Principal Place of Business

  Wilcocks & Wilcocks

  Horton House

  Exchange Flags

  Liverpool

  L2 3PF

  UNITED KINGDOM

  Phone

  +4403452004041

  Web

  https://www.wilcocksandwilcocks.co.uk

• Complaints Contact

  Horton House

  Exchange Flags

  Liverpool

  L2 3PF

  UNITED KINGDOM

  Phone

  +443452004041

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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

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  • · 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, 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

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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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, Structured Deposits, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Credit Brokering

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  • · Limited to credit broking that will not be used to leverage an investment.

• Debt Advice

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  • · This permission is limited to debt counselling which is provided in connection with investment advice or advice on first charge, and any additional charge mortgages on residential or commercial property, including buy to let finance, and non-investment insurance contracts which cover mortgage debt.
  • · This permission is limited to debt counselling with no debt management activity

• 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.

• Martin John Wilcocks

  IRN MJW00130

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 9A. Advising on P2P agreements
  • 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 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (30 Jul 2015 to 8 Dec 2019)
  • CF1 Director (23 Oct 2012 to 8 Dec 2019)
• Robert Peter Wilcocks

  IRN RPW01088

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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)
  • 9A. Advising on P2P agreements
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF11 Money Laundering Reporting (21 Jun 2010 to 8 Dec 2019)
  • CF10 Compliance Oversight (21 Jun 2010 to 8 Dec 2019)
  • Responsible for Insurance Mediation (21 Jun 2010 to 30 Sep 2018)
  • CF30 Customer (27 Aug 2009 to 8 Dec 2019)
  • CF1 Director (19 Aug 2009 to 8 Dec 2019)
• Wayne Leslie Hall

  IRN WLH01012

  • CF1 Director (19 Aug 2009 to 28 May 2010)
  • CF10 Compliance Oversight (19 Aug 2009 to 28 May 2010)
  • CF11 Money Laundering Reporting (19 Aug 2009 to 28 May 2010)
  • CF30 Customer (19 Aug 2009 to 28 May 2010)
  • Responsible for Insurance Mediation (19 Aug 2009 to 28 May 2010)

No changes recorded yet.