Ashok Patel

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.

  • AVSONS FINANCIAL LIMITED (no longer approved here)

    FRN 439187

    • [FCA CF] Functions requiring qualifications (7 Dec 2020 to 12 Jun 2025)
    • [FCA CF] Client dealing (7 Dec 2020 to 12 Jun 2025)
    • SMF3 Executive Director (9 Dec 2019 to 20 Jan 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 20 Jan 2026)
    • SMF16 Compliance Oversight (9 Dec 2019 to 20 Jan 2026)
    • Responsible for Insurance Distribution (1 Oct 2018 to 20 Jan 2026)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 20 Jan 2026)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (6 Dec 2005 to 30 Sep 2018)
    • CF21 Investment Adviser (6 Dec 2005 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (6 Dec 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Dec 2005 to 8 Dec 2019)
    • CF1 Director (6 Dec 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (6 Dec 2005 to 31 Mar 2009)
  • G11 Financial Management Limited (no longer approved here)

    FRN 431002

    • CF30 Customer (22 Jan 2013 to 12 Feb 2013)

Recent activity

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

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