Albert Saxon

Last updated
1 month ago
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Where they hold approval

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

  • THROGMORTON FINANCIAL ADVICE LIMITED

    FRN 527015

    • (6)4. Giving personal recommendations on retail investment products which are not broker funds
    • (8)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (12)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (10)SMF3 Executive Director (since 9 Dec 2019)
    • (9)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (11)[FCA CF] Client dealing (since 9 Dec 2019)
    • (7)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (4)CF10 Compliance Oversight (1 Oct 2010 to 8 Dec 2019)
    • (2)CF30 Customer (1 Oct 2010 to 8 Dec 2019)
    • (3)CF11 Money Laundering Reporting (1 Oct 2010 to 8 Dec 2019)
    • (1)Responsible for Insurance Mediation (1 Oct 2010 to 30 Sep 2018)
    • (5)CF1 Director (1 Oct 2010 to 8 Dec 2019)

Recent activity

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

  1. controlled function removed: SMF3 Executive Director at THROGMORTON FINANCIAL ADVICE LIMITED

  2. controlled function removed: [FCA CF] Client dealing at THROGMORTON FINANCIAL ADVICE LIMITED

  3. controlled function removed: SMF16 Compliance Oversight at THROGMORTON FINANCIAL ADVICE LIMITED

  4. controlled function removed: [FCA CF] Functions requiring qualifications at THROGMORTON FINANCIAL ADVICE LIMITED

  5. controlled function removed: Responsible for Insurance Distribution at THROGMORTON FINANCIAL ADVICE LIMITED

  6. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO) at THROGMORTON FINANCIAL ADVICE LIMITED

  7. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at THROGMORTON FINANCIAL ADVICE LIMITED

  8. controlled function added: (1)Responsible for Insurance Mediation at THROGMORTON FINANCIAL ADVICE LIMITED

  9. controlled function added: (2)CF30 Customer at THROGMORTON FINANCIAL ADVICE LIMITED

  10. controlled function added: (3)CF11 Money Laundering Reporting at THROGMORTON FINANCIAL ADVICE LIMITED

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