Adrian Duke-Cohan

Last updated
2 weeks ago
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Where they hold approval

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

  • Dukes Independent Financial Advisers Ltd

    FRN 577595

    • 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
    • [FCA CF] Client dealing (since 8 Sep 2020)
    • [FCA CF] Functions requiring qualifications (since 8 Sep 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • [FCA CF] Significant management (8 Sep 2020 to 22 Feb 2021)
    • Responsible for Insurance Mediation (20 Jul 2012 to 30 Sep 2018)
    • CF30 Customer (20 Jul 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (20 Jul 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (20 Jul 2012 to 8 Dec 2019)
    • CF1 Director (20 Jul 2012 to 8 Dec 2019)
  • Dukes Independent Financial Advisers (no longer approved here)

    FRN 413679

    • (1)Employed By (17 Nov 2004 to 12 Oct 2006)
  • Greensnow Ltd (no longer approved here)

    FRN 232615

    • (18)Employed By (13 Apr 2004 to 18 Aug 2004)

Recent activity

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

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