Carl Lamb

Last updated
3 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • SMITH & PINCHING FINANCIAL SERVICES LIMITED

    FRN 186616

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Apr 2021)
    • CF28 Systems and controls (11 Jul 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Jul 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Jul 2019 to 8 Dec 2019)
    • CF30 Customer (27 Jun 2019 to 8 Dec 2019)
    • CF1 Director (10 Oct 2018 to 8 Dec 2019)
  • Weston-Cummins Limited (no longer approved here)

    FRN 147608

    • CF30 Customer (24 Jun 2010 to 27 Sep 2019)

Recent activity

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

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