Caroline Matthews

Last updated
6 days ago
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Where they hold approval

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

  • CSM Financial Solutions Limited

    FRN 942693

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 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
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Significant management (since 5 Aug 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Aug 2021)
    • SMF3 Executive Director (since 5 Aug 2021)
    • [FCA CF] Client dealing (since 5 Aug 2021)
    • [FCA CF] Functions requiring qualifications (since 5 Aug 2021)
    • [FCA CF] Manager of certification employee (since 5 Aug 2021)
    • [FCA CF] Material risk taker (since 5 Aug 2021)
    • Responsible for Insurance Distribution (since 5 Aug 2021)
    • SMF16 Compliance Oversight (since 5 Aug 2021)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 5 Aug 2021)
    • CF30 Customer (18 Feb 2011 to 5 Aug 2021)
    • CF1 Director (AR) (18 Feb 2011 to 5 Aug 2021)
  • CSM Financial Solutions Limited (no longer approved here)

    FRN 541180

    • Employed By (18 Feb 2011 to 5 Aug 2021)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 18 Feb 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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