Carl Roland Guy

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Arnott Guy & Co Ltd

    FRN 424079

    • 10. Broker fund adviser
    • 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
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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] Significant management (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (12 Apr 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (12 Apr 2007 to 31 Mar 2009)
    • Responsible for Insurance Mediation (12 Apr 2007 to 30 Sep 2018)
    • CF10 Compliance Oversight (12 Apr 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (11 Apr 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (11 Apr 2005 to 31 Oct 2007)
    • CF1 Director (11 Apr 2005 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.