MARKS AND SPENCER FINANCIAL SERVICES PLC

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Bank Deposits

For All, Deposit
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Insurance Admin

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Stockbroking

For Retail (Non-Investment Insurance), Non-investment insurance contracts
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
Consumer Loans
Loan Servicing

Senior staff personally approved by the FCA to hold their roles here.

Lucy Kate Williams
IRN LKW00011
- [FCA CF] Significant management (21 Oct 2020 to 7 Jan 2021)
- [PRA CF] Significant risk taker or Material risk taker (21 Oct 2020 to 7 Jan 2021)
- SMF16 Compliance Oversight (19 Jul 2018 to 1 Jul 2020)
- CF10 Compliance Oversight (17 Jun 2013 to 6 Mar 2016)
Lynne Caroline Burns
IRN LCB01087
- [FCA CF] Significant management (29 Oct 2020 to 9 Sep 2021)
- [PRA CF] Significant risk taker or Material risk taker (29 Oct 2020 to 9 Sep 2021)
- SMF18 Other Overall Responsibility (2 Jun 2018 to 30 Sep 2020)
Manveen Kaur
IRN MXK01283
- CF28 Systems and controls (1 Apr 2013 to 6 Mar 2016)
Marcus John Joseph Reynolds Golby
IRN MJG01325
- CF1 Director (28 Jul 2008 to 25 Mar 2011)
- CF29 Significant management (5 Mar 2008 to 23 Jul 2008)
- Responsible for Insurance Mediation (5 Mar 2008 to 25 Mar 2011)
Marcus Wogart
IRN MXW01873
- SMF17 Money Laundering Reporting Officer (MLRO) (20 Apr 2016 to 15 Aug 2016)
Margaret Dunbar
IRN MXD01181
- CF1 Director (1 Dec 2001 to 4 Jan 2002)
Marie Claire Baird
IRN MCB31613
- [FCA CF] Manager of certification employee (5 Feb 2021 to 8 Mar 2021)
Mark Adams
IRN MWA01043
- SMF18 Other Overall Responsibility (1 Apr 2017 to 1 Mar 2018)
Mark Cooke
IRN MWC01079
- CF28 Systems and controls (2 Jan 2014 to 6 Mar 2016)
Mark John Thundercliffe
IRN MJT01240
- SMF3 Executive Director (7 Mar 2016 to 22 Jun 2016)
- CF1 Director (17 May 2012 to 6 Mar 2016)

Smaller firms operating under this firm's FCA authorisation.

Moto Plc (no longer appointed)
FRN 490586 · Appointed 23 Oct 2008 · Until 14 Apr 2009
Marks and Spencer P.L.C (no longer appointed)
FRN 151426 · Appointed 17 Jun 1926 · Until 28 May 2019

Updates to this firm's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.