Alister John Gaines

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.

  • Greenarch Wealth Management Limited

    FRN 605774

    • 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)
    • 9A. Advising on P2P agreements
    • SMF3 Executive Director (since 24 May 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 24 May 2022)
    • [FCA CF] Significant management (since 1 Feb 2022)
    • [FCA CF] Client dealing (since 1 Feb 2022)
    • [FCA CF] Functions requiring qualifications (since 1 Feb 2022)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF21 Investment Adviser (10 Apr 2002 to 16 Apr 2004)

Recent activity

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

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