Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Minerva Money Management Limited
FRN 754570
- [FCA CF] Client dealing (since 1 Jan 2023)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
- [FCA CF] Client dealing (9 Dec 2019 to 10 Dec 2019)
- CF30 Customer (24 Sep 2019 to 8 Dec 2019)
- CF1 Director (24 Sep 2019 to 8 Dec 2019)
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RTS Financial Planning Limited
FRN 772054
- 17. Administrative functions in relation to managing investments
- 9A. Advising on P2P agreements
- 7. Giving personal recommendations on long-term care insurance contracts
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 11. Pension transfer specialist
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- [FCA CF] Significant management (since 9 Dec 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF11 Money Laundering Reporting (10 Apr 2017 to 8 Dec 2019)
- Responsible for Insurance Mediation (10 Apr 2017 to 30 Sep 2018)
- CF1 Director (10 Apr 2017 to 8 Dec 2019)
- CF10 Compliance Oversight (10 Apr 2017 to 8 Dec 2019)
- CF30 Customer (10 Apr 2017 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
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