Aspen North Financial Strategies Limited

Limits on what they may do

• Voluntary application for imposition of requirements wef 01/10/26

  1. The Firm is required to abide by a Deed Poll executed by it dated 24 July 26 (the “Deed Poll”) in relation to the specified clients and past business of Aspen Financial Strategies Limited (predecessor firm) listed in an Annex to the Deed Poll. Under this Deed Poll, the Firm has accepted liability and responsibility in relation to all regulated activities and services previously carried out by Aspen Financial Strategies Limited in respect of those clients. This includes approximately 400 investment and pension clients with assets under management of circa £40 million migrating to the Firm. The full detail of such acceptance of liability and responsibility by the Firm is set out in the Deed Poll. 2. The Firm will only advise or otherwise provide services to additional clients currently or formerly advised by Aspen Financial Strategies Limited as set out in the Deed Poll (the Additional Client(s)) with the FCA's prior written consent. 3. The Firm will, if the FCA gives such prior written consent, amend the Deed Poll to include the name(s) and detail(s) of all Additional Client(s) to those set out in the Annex to the original Deed Poll. The amended Deed Poll must be re-executed prior to the Firm engaging in any business with or for such Additional Client(s). 4. The Firm must not engage with, contact, advise, or otherwise communicate with any former clients of Aspen Financial Strategies Limited (FRN 211183), nor facilitate, enter into, or be party to any arrangement or agreement for the transfer, assignment, or movement of such clients (including, for the avoidance of doubt, any Additional Client(s)), whether by gift, sale, or otherwise, unless the FCA has provided prior written consent. 5. The Firm must maintain professional indemnity insurance to cover claims in respect of the specified clients and past business of Aspen Financial Strategies Limited as set out in the Deed Poll, including for the avoidance of doubt, any Additional Client(s). 6. The Firm must not cancel or replace any professional indemnity insurance policy without first providing the FCA with the proposed replacement and allowing 28 days for objection. 7. The Firm must provide evidence of compliance with these Requirements upon FCA request. Effective date 8. The Requirements in this application are to take effect immediately upon the Firm becoming Part 4A authorised and upon their acceptance by the FCA, as notified to the Firm via email. 9. The Requirements herein will remain in effect until such time as the FCA provides to the Firm its written consent to vary or rescind the requirements in part or in full (whether upon application by the Firm or on the FCA’s own initiative).