Compliance
We operate in a heavily regulated field and the subsidiary companies and teams who work for them strive to comply with the guidelines and rules that govern our industry. If you have any questions relating to our regulatory status or the regulation of the Financial Services Industry please contact us.
Download NW Browns Treating Customers Fairly Statement
Download the Terms of Business for New Client Agreement
Anti Money Laundering and Fraud Prevention
Compliments or Concerns
Please see the Compliments or Concerns Pages for the appropriate form.
Authorisations
There are three companies in the Group which are authorised and regulated by the FSA:
NW Brown & Company Ltd authorisation number 191123
| Current Status | Authorised |
| Effective Date | 01/12/2001 |
| Address | Richmond House 16-20 Regent Street Cambridge Cambridgeshire CB2 1DB |
|
Phone |
+44 01223 357 131 |
| Notices | Able to hold and control client money. |
| Other Information | Firm undertakes insurance mediation. |
NW Brown & Company Ltd is permitted by the FSA to:
- Advise on Pension Transfers and Pension Opt Outs
- Advise on investments (except Pension Transfers and Pension Opt Outs)
- Agree to carry on regulated activity
- Arrange (bring about) deals in investments
- Arrange safeguarding and administering of assets
- Deal in investments as agent
- Deal in investments as principal
- Establish/operate/wind up personal pension schemes
- Make arrangements with a view to transactions in investments
- Manage investments
- Safeguard and administer assets (without arranging)
NW Brown & Insurance Brokers Ltd authorisation number 306173
| Current Status | Authorised |
| Effective Date | 14/01/2005 |
| Address | Richmond House 16-20 Regent Street Cambridge Cambridgeshire CB2 1DB |
|
Phone |
+44 01223 357 131 |
| Notices | Able to hold and control client money only in respect of non-investment insurance contracts. |
| Other Information | Firm undertakes insurance mediation. |
NW Brown Insurance Brokers Ltd is permitted by the FSA to:
- Advise on investments (except on Pension Transfers and Pension Opt Outs)
- Advise on regulated mortgage contracts
- Agree to carry on a regulated activity
- Arrange (bring about) deals in investments
- Arrange (bring about) regulated mortgage contracts
- Assist in the administration and performance of a contract of insurance
- Deal in investments as agent
- Make arrangements with a view to regulated mortgage contracts
- Make arrangements with a view to transactions in investments
Freedom Insurance Services Ltd authorisation number 306536
| Current Status | Authorised |
| Effective Date | 14/01/2005 |
| Address | Richmond House 16-20 Regent Street Cambridge Cambridgeshire CB2 1DB |
|
Phone |
+44 01223 357 131 |
| Notices | Able to hold and control client money only in respect of non-investment insurance contracts. |
| Other Information | Firm undertakes insurance mediation. |
Freedom Insurance Services Ltd is permitted by the FSA to:
- Advise on investments (except Pension Transfers and Pension Opt Outs)
- Agree to carry on a regulated activity
- Arrange (bring about) deals in investments
- Assist in the administration and performance of a contract of insurance
- Deal in investments as agent
- Make arrangements with a view to transactions in investments