Anthony John Slocombe

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.

  • CAVENDISH MEDICAL LIMITED

    FRN 436797

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF10 Compliance Oversight (22 Oct 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (20 Sep 2018 to 8 Dec 2019)
    • CF30 Customer (6 Jul 2018 to 8 Dec 2019)
  • KW Wealth Planning Limited (no longer approved here)

    FRN 114694

    • CF11 Money Laundering Reporting (25 Aug 2017 to 23 Apr 2018)
    • CF30 Customer (19 Feb 2016 to 11 May 2018)
    • CF10 Compliance Oversight (14 Dec 2015 to 23 Apr 2018)
  • KW Investment Management Limited (no longer approved here)

    FRN 506600

    • CF11 Money Laundering Reporting (25 Aug 2017 to 23 Apr 2018)
    • CF10 Compliance Oversight (25 Aug 2017 to 23 Apr 2018)
  • HANDELSBANKEN WEALTH & ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 197340

    • CF30 Customer (1 Nov 2007 to 23 May 2012)
    • CF21 Investment Adviser (26 Oct 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (2 Aug 2004 to 26 Oct 2004)
    • CF24 Pension Transfer Specialist (2 Aug 2004 to 31 Oct 2007)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF24 Pension Transfer Specialist (28 Feb 2003 to 28 Jul 2004)

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