Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Seven Investment Management LLP
FRN 589124
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 8 Nov 2024)
- [FCA CF] Functions requiring qualifications (since 13 Feb 2024)
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- 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)
- [FCA CF] Functions requiring qualifications (since 28 Jul 2021)
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- [FCA CF] Functions requiring qualifications (9 Sep 2019 to 26 Jul 2021)
- CF30 Customer (1 Jan 2016 to 6 Mar 2016)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.