Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 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)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 21. Advising or arranging (bringing about) equity release transactions
- [FCA CF] Functions requiring qualifications (since 20 Jun 2022)
- Responsible for Insurance Distribution (since 20 Jun 2022)
- SMF16 Compliance Oversight (since 20 Jun 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 20 Jun 2022)
- SMF3 Executive Director (since 20 Jun 2022)
- [FCA CF] Client dealing (since 20 Jun 2022)
- Responsibility for MCD Intermediation (since 20 Jun 2022)
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- [FCA CF] Functions requiring qualifications (7 Jun 2021 to 22 Jun 2022)
- [FCA CF] Client dealing (7 Jun 2021 to 22 Jun 2022)
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- [FCA CF] Functions requiring qualifications (1 Dec 2020 to 30 Jun 2021)
- [FCA CF] Client dealing (1 Dec 2020 to 30 Jun 2021)
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- (7)Employed By (31 Jan 2005 to 3 Jan 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.