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We are authorised and regulated by the Financial Conduct Authority:
Our Financial Conduct Authority reference number is 147395.
We maintain professional indemnity insurance.
We keep records of business transactions for at least six years.
Tax and estate planning is not regulated by the Financial Conduct Authority.
Nor do they regulate National Savings & Investments products.
Contact details for the Financial Conduct Authority are:
Postal address – 12, Endeavour Square, Stratford, London E20 1JN
Telephone number – 0800 111 6768
Internet web-site – https://www.fca.org.uk
We are members of the Personal Finance Society:
We adhere to their code of conduct and ethics, a copy of which is available on request.
We will not accept payments or any other benefits from product providers or anybody else with whom we may deal on clients’ behalf.
The Personal Finance Society has a programme of “continuing professional development”:
We subscribe to this programme in order to ensure that we stay abreast of matters affecting the finances of our clients.
Training events may be funded or delivered by product providers, investment fund managers, investment trading platforms and others through whom we deal for clients.
This may be construed as our accepting a “benefit in kind”, but we only attend lectures that add to our knowledge – and thus the quality of service that we offer to our clients.
We avoid anything associated with lavish entertaining, exotic venues or valuable gifts.
Our “continuing professional development” records can be inspected by the Personal Finance Society and/or the Financial Conduct Authority at anytime, to ensure their propriety.
Contact details for the Personal Finance Society are:
Postal address – 42-48, High Road, South Woodford. London E18 2JP
Telephone number – 0208 530 0852
Internet web-site – www.thepfs.org.uk
Our clients are classified as “retail clients” for regulatory purposes:
This gives them the highest level of protection in the event of a dispute.
Complaints should always be raised with us directly in the first instance.
Please write or speak to our Managing Director, John Cope.
If our response is not satisfactory, the Financial Ombudsman Service can adjudicate.
Fuller details of our complaints process are available on request, if required.
Contact details for the Financial Ombudsman Service are:
Postal address – Exchange Tower, London E14 9SR:
Telephone number – 0800 023 4567
Internet web-site – https://www.financial-ombudsman.org.uk
Our team of professionals are here for you.