Andrew Grindley

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.

  • Andrew Grindley Financial Services Limited

    FRN 609376

    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (2 Jun 2014 to 8 Dec 2019)
    • CF1 Director (2 Jun 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jun 2014 to 8 Dec 2019)
    • CF30 Customer (2 Jun 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jun 2014 to 30 Sep 2018)
  • Grindley Potter Limited (no longer approved here)

    FRN 491169

    • CF30 Customer (17 Jan 2013 to 20 Jan 2015)
    • CF1 Director (2 Feb 2009 to 20 Jan 2015)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 22 Jan 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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