Andrew Keith Hughes

Last updated
1 week ago
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Where they hold approval

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

  • Phoenix Financial Advisers Limited

    FRN 844879

    • 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
    • [FCA CF] Functions requiring qualifications (since 12 Jan 2021)
    • [FCA CF] Client dealing (since 12 Jan 2021)
  • PHOENIX FINANCIAL SERVICES (UK) LIMITED

    FRN 586375

    • 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
    • [FCA CF] Functions requiring qualifications (since 12 Nov 2020)
    • [FCA CF] Client dealing (since 12 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)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • Responsible for Insurance Mediation (8 Jan 2013 to 30 Sep 2018)
    • CF30 Customer (8 Jan 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (8 Jan 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Jan 2013 to 8 Dec 2019)
    • CF1 Director (8 Jan 2013 to 8 Dec 2019)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF1 Director (AR) (30 Apr 2012 to 18 Dec 2012)
    • CF30 Customer (1 Nov 2007 to 18 Dec 2012)
    • CF21 Investment Adviser (14 Jan 2005 to 31 Oct 2007)
    • CF7 Sole Trader (AR) (14 Jan 2005 to 31 Jan 2007)
  • Phoenix Financial Services (UK) Limited (no longer approved here)

    FRN 227551

    • (3)Employed By (14 Jan 2005 to 18 Dec 2012)

Recent activity

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

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