Carl Douglas Hope

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.

  • Carl Hope

    FRN 453710

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • SMF29 Limited scope function (limited scope SMCR firms only) (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF8 Apportionment and Oversight (15 Dec 2016 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Sep 2006 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Sep 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Sep 2006 to 8 Dec 2019)
  • Douglas Hope Financial Management(2885) (no longer approved here)

    FRN 194609

    • (2)Employed By (13 Jul 1999 to 31 Aug 2006)

Recent activity

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

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