Where they hold approval

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

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 10. Broker fund adviser
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 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] Functions requiring qualifications (since 17 Jan 2020)
    • Appointed representative dealing with clients for which they require qualification (since 17 Jan 2020)
    • [FCA CF] Client dealing (since 17 Jan 2020)
    • CF30 Customer (since 18 Oct 2019)
  • Anne St Ives

    FRN 228154

    • (1)Employed By (since 4 Nov 2015)
    • (1)Employed By (21 Oct 2003 to 16 May 2014)
  • Rosemount Financial Solutions (IFA) Limited (no longer approved here)

    FRN 535515

    • CF30 Customer (4 Nov 2015 to 19 Dec 2019)
  • Oxford & Cambridge Independent Advisers Limited (no longer approved here)

    FRN 171346

    • (6)Employed By (1 Dec 2001 to 17 Mar 2004)

Recent activity

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

  1. controlled function removed: Employed By at Anne St Ives

  2. controlled function added: (1)Employed By at Anne St Ives