Antony Maurice Lesser

Last updated
1 month ago
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Where they hold approval

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

  • CBW Financial Planning Limited (no longer approved here)

    FRN 182357

    • (27)[FCA CF] Client dealing (19 Dec 2019 to 6 May 2022)
    • (29)[FCA CF] Functions requiring qualifications (19 Dec 2019 to 6 May 2022)
    • (18)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Jul 2020)
    • (19)SMF16 Compliance Oversight (9 Dec 2019 to 21 Jul 2020)
    • (20)SMF3 Executive Director (9 Dec 2019 to 6 May 2022)
    • (16)Responsible for Insurance Distribution (1 Oct 2018 to 21 Jul 2020)
    • (21)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (17)Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • (24)CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • (25)CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • (22)CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • (28)CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • (26)CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • (23)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

  1. controlled function added: (16)Responsible for Insurance Distribution at CBW Financial Planning Limited

  2. controlled function added: (17)Responsible for Insurance Mediation at CBW Financial Planning Limited

  3. controlled function added: (18)SMF17 Money Laundering Reporting Officer (MLRO) at CBW Financial Planning Limited

  4. controlled function added: (19)SMF16 Compliance Oversight at CBW Financial Planning Limited

  5. controlled function added: (20)SMF3 Executive Director at CBW Financial Planning Limited

  6. controlled function added: (21)CF30 Customer at CBW Financial Planning Limited

  7. controlled function added: (22)CF24 Pension Transfer Specialist at CBW Financial Planning Limited

  8. controlled function added: (23)CF21 Investment Adviser at CBW Financial Planning Limited

  9. controlled function added: (24)CF11 Money Laundering Reporting at CBW Financial Planning Limited

  10. controlled function added: (25)CF10 Compliance Oversight at CBW Financial Planning Limited

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