Carl Jonathan Slade

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.

  • CITY INVESTMENT & INSURANCE SERVICES LIMITED

    FRN 601394

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2017 to 8 Dec 2019)
    • CF30 Customer (7 Oct 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 Oct 2013 to 1 Oct 2017)
    • CF1 Director (7 Oct 2013 to 8 Dec 2019)
  • City Investment & Insurance Services Ltd (no longer approved here)

    FRN 446712

    • Employed By (10 Mar 2006 to 19 Oct 2013)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 17 Mar 2006)

Recent activity

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

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