Caroline Anne Banks

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.

  • Best Practice IFA Group Limited

    FRN 223112

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (AR) (since 6 Oct 2014)
    • CF30 Customer (since 16 Jun 2014)
  • Caroline Banks & Associates Limited

    FRN 648702

    • Employed By (since 2 Oct 2014)
  • Curtis Banks Limited (no longer approved here)

    FRN 492502

    • CF1 Director (4 Jun 2009 to 15 Feb 2011)

Recent activity

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

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