Caroline Simpson

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • H.S.P. Financial Planning Limited

    FRN 229235

    • 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)
    • Responsible for Insurance Distribution (since 11 Jun 2021)
    • SMF16 Compliance Oversight (since 28 Apr 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Apr 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 13 Mar 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (11 Feb 2004 to 8 Dec 2019)
    • CF21 Investment Adviser (30 Jan 2004 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.