Akash Prem Gupta

Last updated
5 days ago
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Where they hold approval

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

  • APG Wealth Management Ltd

    FRN 980861

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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)
    • [FCA CF] Functions requiring qualifications (since 1 Feb 2023)
    • Responsible for Insurance Distribution (since 1 Feb 2023)
    • SMF16 Compliance Oversight (since 1 Feb 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Feb 2023)
    • SMF3 Executive Director (since 1 Feb 2023)
    • [FCA CF] Client dealing (since 1 Feb 2023)
    • Responsibility for MCD Intermediation (1 Feb 2023 to 28 Jun 2023)
  • Aegis Financial Planning Limited (no longer approved here)

    FRN 624298

    • [FCA CF] Client dealing (9 Dec 2019 to 5 Aug 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Aug 2021)
    • CF30 Customer (21 Sep 2017 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF1 Director (AR) (13 Feb 2017 to 24 Apr 2017)
    • CF30 Customer (5 Feb 2013 to 24 Apr 2017)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (2 Sep 2011 to 21 Dec 2012)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (2 Jul 2009 to 26 Aug 2011)

Recent activity

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

No changes recorded yet.