Wise Funds Limited

• Principal Place of Business

  The Great Barn

  Chalford Park Barns

  Chipping Norton

  Oxfordshire

  OX7 5QR

  UNITED KINGDOM

  Phone

  +4401608695180

  Web

  https://www.wise-funds.co.uk

• Complaints Contact

  The Great Barn

  Chalford Park Barns

  Chipping Norton

  Oxfordshire

  OX7 5QR

  UNITED KINGDOM

  Phone

  +4401608695180

• Investment Advice (no pensions)

  For Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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 Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Stockbroking

  For Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Investment Setup

  For Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Manages Your Portfolio

  For Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Amanda Claire Sullivan

  IRN AXS04186

  • SMF3 Executive Director (9 Dec 2019 to 30 Jun 2021)
  • CF1 Director (23 May 2017 to 8 Dec 2019)
• Anthony John Yarrow

  IRN AJY00001

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2021)
  • SMF3 Executive Director (9 Dec 2019 to 30 Jun 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2021)
  • CF1 Director (23 May 2017 to 8 Dec 2019)
  • CF30 Customer (23 May 2017 to 8 Dec 2019)
• John Richard Newton

  IRN JXN00114

  • SMF16 Compliance Oversight (since 1 Nov 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Nov 2022)
  • [FCA CF] Material risk taker (since 19 Dec 2019)
• Nicole Harrington

  IRN NXH01739

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Nov 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Nov 2022)
  • CF11 Money Laundering Reporting (23 May 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (23 May 2017 to 8 Dec 2019)
• Philip Charles Dickie Matthews

  IRN PCM01043

  • 14. Managing investments
  • SMF3 Executive Director (since 1 Jul 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2018 to 8 Dec 2019)
• Richard John Taylor

  IRN RJT01075

  • [FCA CF] Material risk taker (4 Feb 2020 to 1 Nov 2022)
• Vincent Ropers

  IRN VXR01087

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF3 Chief Executive (6 Mar 2018 to 8 Dec 2019)
  • CF1 Director (6 Mar 2018 to 8 Dec 2019)
  • CF30 Customer (1 Jun 2017 to 8 Dec 2019)

No changes recorded yet.