Andrew James Asquith-Vallance

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.

  • RBC Europe Limited

    FRN 124543

    • 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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 4 Nov 2024)
    • [FCA CF] Client dealing (since 4 Nov 2024)
  • Morningstar Wealth Retirement Services Limited (no longer approved here)

    FRN 462660

    • CF10 Compliance Oversight (23 Jan 2017 to 4 Apr 2018)
    • CF11 Money Laundering Reporting (23 Jan 2017 to 4 Apr 2018)
    • CF1 Director (25 Jun 2015 to 4 Apr 2018)
    • CF24 Pension Transfer Specialist (4 Apr 2007 to 31 Oct 2007)

Recent activity

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

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