Alan Laurence Cox

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.

  • Zenith Asset Management Ltd

    FRN 710026

    • 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 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)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (5 Oct 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Oct 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Oct 2015 to 8 Dec 2019)
    • CF30 Customer (5 Oct 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (5 Oct 2015 to 30 Sep 2018)
  • Tom French & Associates Limited (no longer approved here)

    FRN 185513

    • CF30 Customer (1 Nov 2007 to 21 Dec 2007)
    • CF24 Pension Transfer Specialist (30 Apr 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (30 Apr 2007 to 31 Oct 2007)
  • Charterhouse Financial Planning Limited (no longer approved here)

    FRN 449128

    • CF24 Pension Transfer Specialist (8 Nov 2006 to 1 May 2007)
    • CF21 Investment Adviser (28 Jul 2006 to 1 May 2007)
  • Charterhouse Financial Planning Ltd (no longer approved here)

    FRN 231612

    • Employed By (22 May 2006 to 27 Jul 2006)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF21 Investment Adviser (21 Mar 2005 to 23 May 2006)
  • Bankfield Financial Advisers Ltd (no longer approved here)

    FRN 214372

    • Employed By (21 Mar 2005 to 23 May 2006)
  • ABERDEEN PLATFORM LIMITED (no longer approved here)

    FRN 188796

    • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2002)

Recent activity

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

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