Andrew John Mason

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.

  • ELM TREE FINANCIAL SERVICES LTD

    FRN 511619

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF10 Compliance Oversight (10 May 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (29 Jan 2010 to 30 Sep 2018)
    • CF1 Director (29 Jan 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (29 Jan 2010 to 8 Dec 2019)
    • CF30 Customer (29 Jan 2010 to 31 Dec 2012)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF22 Investment Adviser (Trainee) (30 Apr 2004 to 29 Nov 2004)
  • Wesleyan Assurance Society (no longer approved here)

    FRN 110873

    • CF21 Investment Adviser (1 Dec 2001 to 14 Nov 2003)
  • Wesleyan Unit Trust Managers Limited (no longer approved here)

    FRN 175798

    • CF21 Investment Adviser (1 Dec 2001 to 14 Nov 2003)

Recent activity

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

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