Aimee Abbey Marler

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.

  • Smith Associates

    FRN 155008

    • (3)Employed By (since 27 Nov 2024)
    • (2)Employed By (24 Jul 2013 to 1 Sep 2014)
  • SMITH ASSOCIATES FINANCIAL SERVICES LTD

    FRN 715058

    • 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 9 Dec 2019)
    • [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)
    • Responsible for Insurance Distribution (since 14 May 2019)
    • CF10 Compliance Oversight (14 May 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 May 2019 to 8 Dec 2019)
    • CF1 Director (22 Aug 2017 to 8 Dec 2019)
    • CF30 Customer (16 Dec 2015 to 8 Dec 2019)

Recent activity

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

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