Alastair James Haining

Last updated
2 weeks ago
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Where they hold approval

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

  • REGAL INDEPENDENT FINANCIAL SERVICES LIMITED

    FRN 615267

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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] Functions requiring qualifications (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)
    • CF11 Money Laundering Reporting (7 Apr 2014 to 8 Dec 2019)
    • CF30 Customer (7 Apr 2014 to 8 Dec 2019)
    • CF1 Director (7 Apr 2014 to 8 Dec 2019)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 13 Sep 2012)
    • CF1 Director (AR) (27 Aug 2004 to 13 Sep 2012)
    • CF21 Investment Adviser (27 Aug 2004 to 31 Oct 2007)
  • Regal Independent Financial Services Ltd (no longer approved here)

    FRN 403177

    • (12)Employed By (27 Aug 2004 to 14 Apr 2014)
  • Royal London Unit Trust Managers Limited (no longer approved here)

    FRN 144037

    • CF21 Investment Adviser (11 Nov 2002 to 20 Feb 2003)
  • Royal London Mutual Insurance Society, Limited (THE) (no longer approved here)

    FRN 117672

    • CF21 Investment Adviser (1 Dec 2001 to 20 Feb 2003)
  • Royal London Savings Limited (no longer approved here)

    FRN 191237

    • CF21 Investment Adviser (1 Dec 2001 to 20 Feb 2003)

Recent activity

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

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