Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Willow Financial Planning Limited
FRN 577482
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 8. Giving personal recommendations on investments in the course of corporate finance business
- 7. Giving personal recommendations on long-term care insurance contracts
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 21. Advising or arranging (bringing about) equity release transactions
- 11. Pension transfer specialist
- 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- CF10 Compliance Oversight (17 May 2012 to 8 Dec 2019)
- Responsible for Insurance Mediation (17 May 2012 to 30 Sep 2018)
- CF30 Customer (17 May 2012 to 8 Dec 2019)
- CF11 Money Laundering Reporting (17 May 2012 to 8 Dec 2019)
- CF1 Director (17 May 2012 to 8 Dec 2019)
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- CF11 Money Laundering Reporting (9 Jul 2010 to 10 Jan 2012)
- CF10 Compliance Oversight (9 Jul 2010 to 10 Jan 2012)
- CF1 Director (28 Jul 2009 to 8 Feb 2012)
- CF30 Customer (1 Nov 2007 to 8 Feb 2012)
- CF24 Pension Transfer Specialist (13 Jul 2007 to 31 Oct 2007)
- CF21 Investment Adviser (20 Jul 2006 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.