Alistair James Duffy

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 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] Client dealing (since 20 Nov 2024)
    • [FCA CF] Functions requiring qualifications (since 20 Nov 2024)
  • AJD FINANCIAL SERVICES LTD.

    FRN 607609

    • (1)7. Giving personal recommendations on long-term care insurance contracts
    • (2)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (3)4. Giving personal recommendations on retail investment products which are not broker funds
    • (7)SMF3 Executive Director (since 9 Dec 2019)
    • (5)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (6)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (9)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (8)[FCA CF] Client dealing (since 9 Dec 2019)
    • (4)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (5)CF1 Director (7 Jan 2014 to 8 Dec 2019)
    • (1)Responsible for Insurance Mediation (7 Jan 2014 to 30 Sep 2018)
    • (4)CF10 Compliance Oversight (7 Jan 2014 to 8 Dec 2019)
    • (3)CF11 Money Laundering Reporting (7 Jan 2014 to 8 Dec 2019)
    • (2)CF30 Customer (7 Jan 2014 to 8 Dec 2019)

Recent activity

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

  1. controlled function added: (2)CF30 Customer at AJD FINANCIAL SERVICES LTD.

  2. controlled function added: (3)CF11 Money Laundering Reporting at AJD FINANCIAL SERVICES LTD.

  3. controlled function added: (4)CF10 Compliance Oversight at AJD FINANCIAL SERVICES LTD.

  4. controlled function added: (5)CF1 Director at AJD FINANCIAL SERVICES LTD.

  5. controlled function added: (1)7. Giving personal recommendations on long-term care insurance contracts at AJD FINANCIAL SERVICES LTD.

  6. controlled function added: (2)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at AJD FINANCIAL SERVICES LTD.

  7. controlled function added: (3)4. Giving personal recommendations on retail investment products which are not broker funds at AJD FINANCIAL SERVICES LTD.

  8. controlled function added: (4)Responsible for Insurance Distribution at AJD FINANCIAL SERVICES LTD.

  9. controlled function added: (5)SMF17 Money Laundering Reporting Officer (MLRO) at AJD FINANCIAL SERVICES LTD.

  10. controlled function added: (6)SMF16 Compliance Oversight at AJD FINANCIAL SERVICES LTD.

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