Benjamin David Clarke

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.

  • WFS Consulting Limited

    FRN 191531

    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 9 Dec 2019)
    • CF10 Compliance Oversight (1 Nov 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Nov 2008 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF1 Director (6 May 2003 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (6 May 2003 to 31 Mar 2009)
    • CF3 Chief Executive (1 Oct 2002 to 8 Dec 2019)
  • WINGATE WEALTH MANAGEMENT LIMITED

    FRN 478923

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 9 Dec 2019)
    • CF10 Compliance Oversight (1 Nov 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Nov 2008 to 8 Dec 2019)
    • CF1 Director (3 Mar 2008 to 8 Dec 2019)
    • CF3 Chief Executive (3 Mar 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (3 Mar 2008 to 31 Mar 2009)
    • Responsible for Insurance Mediation (3 Mar 2008 to 30 Sep 2018)

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