Catherine Julie Briers

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • Optimal Planning Ltd

    FRN 463108

    • (2)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (1)7. Giving personal recommendations on long-term care insurance contracts
    • (3)4. Giving personal recommendations on retail investment products which are not broker funds
    • (5)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (7)SMF3 Executive Director (since 9 Dec 2019)
    • (6)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (8)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (4)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (2)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (5)CF11 Money Laundering Reporting (10 Apr 2007 to 8 Dec 2019)
    • (4)CF21 Investment Adviser (10 Apr 2007 to 31 Oct 2007)
    • (6)CF10 Compliance Oversight (10 Apr 2007 to 8 Dec 2019)
    • (3)CF24 Pension Transfer Specialist (10 Apr 2007 to 31 Oct 2007)
    • (7)CF8 Apportionment and Oversight (10 Apr 2007 to 31 Mar 2009)
    • (8)CF1 Director (10 Apr 2007 to 8 Dec 2019)
    • (1)Responsible for Insurance Mediation (10 Apr 2007 to 30 Sep 2018)
  • Origen Financial Services Limited (no longer approved here)

    FRN 192666

    • CF21 Investment Adviser (1 Mar 2005 to 30 Mar 2005)

Recent activity

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

  1. controlled function added: (3)CF24 Pension Transfer Specialist at Optimal Planning Ltd

  2. controlled function added: (4)CF21 Investment Adviser at Optimal Planning Ltd

  3. controlled function added: (5)CF11 Money Laundering Reporting at Optimal Planning Ltd

  4. controlled function added: (6)CF10 Compliance Oversight at Optimal Planning Ltd

  5. controlled function added: (7)CF8 Apportionment and Oversight at Optimal Planning Ltd

  6. controlled function added: (8)CF1 Director at Optimal Planning Ltd

  7. controlled function added: (1)7. Giving personal recommendations on long-term care insurance contracts at Optimal Planning Ltd

  8. controlled function added: (2)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at Optimal Planning Ltd

  9. controlled function added: (3)4. Giving personal recommendations on retail investment products which are not broker funds at Optimal Planning Ltd

  10. controlled function added: (4)Responsible for Insurance Distribution at Optimal Planning Ltd

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