Independent Broking Solutions Limited

Limits on what they may do

• The Firm must not conduct regulated activity connected to Stephen Marriner and associated James Steele entities or enter into new Appointed Representative appointments without FCA consent.

  Independent Broking Solutions Limited (the “Firm”) applies under section 55L(5)(a) of the Financial Services and Markets Act 2000 (“FSMA”) for the Financial Conduct Authority (the “FCA”) to impose the following requirements (the “Requirements”) on the Part 4A permission of the Firm as set out in the terms below. Restriction on regulated activities 1. The Firm must not, without the prior written consent of the FCA, conduct any business under the trading name James Steele & Associates, and should remove this trading name from the FCA Register with immediate effect. 2. The Firm must immediately cease all regulated activity conducted by, through, or in connection with Stephen Marriner, James Steele & Associates Ltd, and James Steele and Company Limited, except where necessary for the Firm, via its placement, processing and accounting teams, to manage policies, process claims or complete business in the course of completion in order to protect the interests of customers previously held by James Steele & Associates Ltd during its appointment as an appointed representative of the Firm. 3. The Firm must not, without the prior written consent of the FCA, enter into any new agreement or arrangement with an Appointed Representative or Introducer Appointed Representative until the FCA is satisfied that the Firm's revised onboarding and monitoring arrangements meet the requirements of SUP 12. 4. The Requirements in this application are to take effect immediately on their acceptance by the FCA and notification of such to the Firm by email. These Requirements will remain in force unless and until varied or cancelled by the FCA.