Andrew Nicholas Dawborn

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Andrew Dawborn

    FRN 627978

    • 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)
    • 9A. Advising on P2P agreements
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (12 Nov 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (12 Nov 2014 to 8 Dec 2019)
    • CF30 Customer (12 Nov 2014 to 8 Dec 2019)
  • Wise Investments (no longer approved here)

    FRN 146326

    • Employed By (1 Oct 1998 to 11 Nov 2014)

Recent activity

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

No changes recorded yet.