Andrew James Owain Hart

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Maven Adviser Limited

    FRN 768197

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 1 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Nov 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [PRA CF] Key function holder (1 Nov 2020 to 9 Oct 2024)
    • [FCA CF] Significant management (1 Nov 2020 to 9 Oct 2024)
    • CF1 Director (1 Jun 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jun 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jun 2017 to 8 Dec 2019)
    • CF30 Customer (1 Jun 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Jun 2017 to 30 Sep 2018)
  • SERENITY FINANCIAL PLANNING LTD (no longer approved here)

    FRN 452299

    • CF30 Customer (12 Jul 2010 to 1 Jul 2017)
  • CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 231910

    • (46)CF30 Customer (28 Oct 2008 to 30 Jun 2010)

Recent activity

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

  1. controlled function added: (46)CF30 Customer at CATHEDRAL INDEPENDENT FINANCIAL PLANNING LIMITED