Alun Wyn Hughes

Last updated
1 week ago
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Where they hold approval

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

  • Rees Astley Independent Financial Advisers Limited

    FRN 148187

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Responsible for Insurance Distribution (since 19 Dec 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (AR) (10 Jun 2014 to 4 Jan 2017)
    • CF11 Money Laundering Reporting (8 Oct 2009 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (2 Jun 2005 to 31 Mar 2009)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Rees Astley Insurance Brokers Limited (no longer approved here)

    FRN 750805

    • SMF3 Executive Director (9 Dec 2019 to 29 Oct 2024)
    • CF1 Director (3 Jan 2017 to 8 Dec 2019)
  • Rees Astley Credit Limited (no longer approved here)

    FRN 822751

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Oct 2024)
    • SMF3 Executive Director (9 Dec 2019 to 29 Oct 2024)
    • CF11 Money Laundering Reporting (7 Oct 2019 to 8 Dec 2019)
    • CF1 Director (7 Oct 2019 to 8 Dec 2019)
  • Clifford Challinor Ltd (no longer approved here)

    FRN 486769

    • Employed By (10 Jun 2014 to 8 Dec 2019)

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