Alan Keith Blake

Last updated
3 weeks ago
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Where they hold approval

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

  • Sage Independent Advisers Ltd

    FRN 301612

    • 4. Giving personal recommendations on retail investment products which are not 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
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 25 Aug 2016)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Aug 2024)
    • CF30 Customer (19 Aug 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (19 Aug 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (19 Aug 2008 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (31 Oct 2004 to 31 Mar 2009)
    • CF1 Director (31 Oct 2004 to 8 Dec 2019)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF22 Investment Adviser (Trainee) (21 Sep 2002 to 1 Nov 2006)
    • CF7 Sole Trader (AR) (9 Aug 2002 to 31 Jan 2007)

Recent activity

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

No changes recorded yet.