Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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DIRECT IFA'S LIMITED
FRN 228706
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsible for Insurance Mediation (17 Oct 2017 to 30 Sep 2018)
- CF10 Compliance Oversight (14 Jun 2017 to 8 Dec 2019)
- CF11 Money Laundering Reporting (14 Jun 2017 to 8 Dec 2019)
- CF1 Director (22 Sep 2010 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.