Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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MAUNBY INVESTMENT MANAGEMENT LIMITED
FRN 114428
- 14. Managing investments
- Responsible for Insurance Distribution (since 26 Mar 2025)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- Responsible for Insurance Distribution (1 Oct 2018 to 26 Aug 2020)
- Responsible for Insurance Mediation (21 Feb 2013 to 30 Sep 2018)
- CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
- CF10 Compliance Oversight (4 Jul 2011 to 8 Dec 2019)
- CF11 Money Laundering Reporting (4 Jul 2011 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF1 Director (10 Aug 2007 to 8 Dec 2019)
- CF3 Chief Executive (10 Aug 2007 to 8 Dec 2019)
- CF8 Apportionment and Oversight (10 Aug 2007 to 31 Oct 2007)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
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