Adam John Royce

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • EMET FINANCIAL SERVICES LIMITED

    FRN 773427

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Responsible for Insurance Distribution (since 10 May 2024)
    • SMF3 Executive Director (since 10 May 2024)
    • CF30 Customer (since 4 Jan 2022)
    • [FCA CF] Functions requiring qualifications (since 20 Jul 2020)
    • [FCA CF] Client dealing (since 20 Jul 2020)
  • Beyond Finance Ltd (no longer approved here)

    FRN 145831

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 12 Apr 2022)
    • CF11 Money Laundering Reporting (11 May 2018 to 8 Dec 2019)
  • Bespoke Independent Financial Advisers Limited (no longer approved here)

    FRN 610625

    • SMF16 Compliance Oversight (9 Dec 2019 to 4 May 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 4 May 2021)
    • CF11 Money Laundering Reporting (1 Dec 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2017 to 8 Dec 2019)
  • LIVE SMART FINANCIAL PLANNING LTD (no longer approved here)

    FRN 778483

    • SMF16 Compliance Oversight (9 Dec 2019 to 6 Apr 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Apr 2021)
    • SMF3 Executive Director (9 Dec 2019 to 6 Apr 2021)
    • CF10 Compliance Oversight (9 Oct 2019 to 8 Dec 2019)
    • CF1 Director (9 Oct 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (9 Oct 2019 to 8 Dec 2019)
    • Responsible for Insurance Distribution (9 Oct 2019 to 6 Apr 2021)
  • Lowndes Capital Limited (no longer approved here)

    FRN 792342

    • SMF16 Compliance Oversight (9 Dec 2019 to 15 Apr 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Apr 2021)
    • CF11 Money Laundering Reporting (1 Aug 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Aug 2018 to 8 Dec 2019)
  • Falco Investment Management Limited (no longer approved here)

    FRN 814308

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 20 Dec 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 20 Dec 2021)
    • CF11 Money Laundering Reporting (1 Oct 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2018 to 8 Dec 2019)
  • Duchy Private Office LLP (no longer approved here)

    FRN 826786

    • SMF16 Compliance Oversight (9 Dec 2019 to 14 Apr 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Apr 2022)
    • CF10 Compliance Oversight (1 Oct 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Oct 2019 to 8 Dec 2019)
  • Forth Capital Advisers Limited (no longer approved here)

    FRN 811535

    • CF10 Compliance Oversight (25 Feb 2019 to 16 Oct 2019)
    • CF11 Money Laundering Reporting (25 Feb 2019 to 16 Oct 2019)
  • Flying Colours Advice Limited (no longer approved here)

    FRN 672022

    • CF10 Compliance Oversight (3 Jan 2018 to 21 Nov 2018)
    • CF11 Money Laundering Reporting (3 Jan 2018 to 21 Nov 2018)

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