Anthony Fallon

Last updated
2 weeks ago
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Where they hold approval

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

  • Fallon Associates Limited

    FRN 402324

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF21 Investment Adviser (18 Oct 2004 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (18 Oct 2004 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (18 Oct 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Oct 2004 to 8 Dec 2019)
    • CF1 Director (18 Oct 2004 to 8 Dec 2019)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF21 Investment Adviser (1 Dec 2001 to 19 Nov 2004)
    • CF7 Sole Trader (AR) (1 Dec 2001 to 19 Nov 2004)
  • Fallon Associates (no longer approved here)

    FRN 188708

    • (3)Employed By (18 Feb 1999 to 19 Nov 2004)

Recent activity

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

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