Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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FARADAY FINANCIAL PLANNING LIMITED
FRN 415909
- 11. Pension transfer specialist
- 14. Managing investments
- 15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 3. Giving personal recommendations on derivatives
- 9A. Advising on P2P agreements
- [FCA CF] Functions requiring qualifications (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)
- Responsibility for MCD Intermediation (since 31 May 2017)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF1 Director (1 Apr 2005 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Apr 2005 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Apr 2005 to 8 Dec 2019)
- CF21 Investment Adviser (1 Apr 2005 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (1 Apr 2005 to 31 Oct 2007)
- CF8 Apportionment and Oversight (1 Apr 2005 to 31 Mar 2009)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.