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.

David Malcolm Towell
IRN DMT01056
- CF3 Chief Executive (31 Dec 2001 to 31 Dec 2001)
- CF8 Apportionment and Oversight (31 Dec 2001 to 31 Dec 2001)
- CF1 Director (1 Dec 2001 to 31 Dec 2001)
David Stewart
IRN DXS01423
- SMF11 Chair of the Audit Committee (7 Mar 2016 to 13 May 2020)
- SMF10 Chair of the Risk Committee (7 Mar 2016 to 13 May 2020)
- CF2 Non Executive Director (1 Jul 2014 to 6 Mar 2016)
David William John Bagley
IRN DWB01091
- CF11 Money Laundering Reporting (18 May 2005 to 5 Nov 2012)
- CF10 Compliance Oversight (18 May 2005 to 5 Nov 2012)
Deborah Ann Manuel
IRN DAM01265
- [FCA CF] Manager of certification employee (since 21 Feb 2022)
- [FCA CF] Manager of certification employee (11 Apr 2017 to 9 Jan 2019)
Deborah Kathleen Jones
IRN DXJ00090
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 26 Apr 2002)
Denise Mary DBE Holt
IRN DMH01195
- SMF9 Chair of the Governing Body (7 Mar 2016 to 19 Sep 2019)
- CF2 Non Executive Director (12 Jul 2013 to 6 Mar 2016)
Douglas Jardine Flint
IRN DJF01114
- CF28 Systems and controls (1 Nov 2007 to 24 Jan 2011)
- CF13 Finance (17 Jul 2006 to 31 Oct 2007)
Dyfrig Dafydd Joseff John
IRN DDJ00002
- CF2 Non Executive Director (25 Apr 2005 to 9 Feb 2006)
Edward Brian Nott
IRN EBN01002
- Responsible for Insurance Mediation (7 Mar 2005 to 10 Dec 2007)
- CF1 Director (1 Aug 2002 to 10 Dec 2007)
Edward Robert White
IRN ERW29251
- [FCA CF] Manager of certification employee (8 May 2019 to 8 Oct 2021)

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.