Amarjit Singh Gharial

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.

  • Amarjit Singh Gharial

    FRN 486909

    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF10 Compliance Oversight (24 Dec 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (24 Dec 2008 to 8 Dec 2019)
    • CF30 Customer (24 Dec 2008 to 8 Dec 2019)
  • Orkin Financial Services (1905) (no longer approved here)

    FRN 151520

    • (4)Employed By (1 Oct 1998 to 7 May 2008)

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