Alexander Stephen Morris

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.

  • Financial Relationships LLP

    FRN 483315

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 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)
    • [FCA CF] Manager of certification employee (since 12 Mar 2021)
    • [FCA CF] Client dealing (since 12 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 12 Mar 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (AR) (since 28 Nov 2014)
    • [FCA CF] Significant management (12 Mar 2021 to 13 Mar 2021)
    • [FCA CF] Benchmark submission and administration (12 Mar 2021 to 13 Mar 2021)
    • [FCA CF] Material risk taker (12 Mar 2021 to 13 Mar 2021)
    • Responsibility for MCD Intermediation (23 Sep 2016 to 27 Feb 2020)
    • Responsible for Insurance Mediation (25 Nov 2011 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (25 Nov 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (25 Nov 2011 to 8 Dec 2019)
    • CF30 Customer (11 Jul 2008 to 8 Dec 2019)
    • CF4 Partner (11 Jul 2008 to 8 Dec 2019)
  • Sinfonia Direct Ltd (no longer approved here)

    FRN 440606

    • Employed By (1 Nov 2005 to 30 Nov 2006)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF21 Investment Adviser (2 Aug 2004 to 30 Nov 2006)
  • Capital Planning UK Ltd (no longer approved here)

    FRN 402461

    • Employed By (2 Aug 2004 to 1 Nov 2005)

Recent activity

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

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