Where they hold approval

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

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 9 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Oct 2020)
    • SMF3 Executive Director (since 1 Oct 2020)
    • Responsible for Insurance Distribution (since 1 Oct 2020)
    • SMF16 Compliance Oversight (since 1 Oct 2020)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 30 Sep 2020)
    • CF1 Director (AR) (8 Aug 2003 to 30 Sep 2020)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Secure Financial Planning Ltd (no longer approved here)

    FRN 188117

    • (3)Employed By (8 Apr 2002 to 6 Jan 2004)

Recent activity

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

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