Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Virtu Financial Planning Ltd
FRN 930109
- 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)
- Responsible for Insurance Distribution (since 4 Dec 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Dec 2020)
- SMF3 Executive Director (since 4 Dec 2020)
- [FCA CF] Client dealing (since 3 Dec 2020)
- [FCA CF] Functions requiring qualifications (since 3 Dec 2020)
- [FCA CF] Manager of certification employee (3 Dec 2020 to 5 May 2022)
- [FCA CF] Significant management (3 Dec 2020 to 5 May 2022)
- [PRA CF] Key function holder (3 Dec 2020 to 5 May 2022)
Recent activity
Updates to this individual's record on the FCA register.
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