Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
MERLIN FINANCIAL SERVICES LTD
FRN 220125
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 21. Advising or arranging (bringing about) equity release transactions
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 7. Giving personal recommendations on long-term care insurance contracts
- [FCA CF] Functions requiring qualifications (since 8 Mar 2021)
- [FCA CF] Client dealing (since 8 Mar 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF11 Money Laundering Reporting (29 Aug 2003 to 8 Dec 2019)
- CF21 Investment Adviser (31 Jan 2003 to 31 Oct 2007)
- CF1 Director (31 Jan 2003 to 8 Dec 2019)
- CF24 Pension Transfer Specialist (31 Jan 2003 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.