Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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D.S. HOWELL FINANCIAL SERVICES LIMITED
FRN 428904
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 9A. Advising on P2P agreements
- 4. Giving personal recommendations on retail investment products which are not broker funds
- SMF16 Compliance Oversight (since 10 Jan 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Jan 2020)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsible for Insurance Mediation (11 Oct 2017 to 30 Sep 2018)
- Responsibility for MCD Intermediation (11 Oct 2017 to 5 Jan 2018)
- CF30 Customer (14 Jul 2017 to 8 Dec 2019)
- CF10 Compliance Oversight (14 Jul 2017 to 19 Dec 2018)
- CF11 Money Laundering Reporting (14 Jul 2017 to 19 Dec 2018)
- CF1 Director (14 Jul 2017 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.