Alistair Andrew Roberts Imrie

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.

  • A1 Financial Solutions Ltd

    FRN 647921

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 17. Administrative functions in relation to managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 26 Apr 2021)
    • [PRA CF] Key function holder (since 26 Apr 2021)
    • [FCA CF] Significant management (since 26 Apr 2021)
    • [FCA CF] Functions requiring qualifications (since 26 Apr 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (19 Dec 2016 to 8 Dec 2019)
    • CF30 Customer (2 Mar 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Mar 2015 to 8 Dec 2019)
    • CF1 Director (2 Mar 2015 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (31 May 2016 to 14 Jun 2016)

Recent activity

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

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