Catherine Louise Casey

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.

  • ROCKWOOD FINANCIAL SOLUTIONS LIMITED

    FRN 593766

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • CF30 Customer (since 25 Feb 2020)
    • CF1 Director (AR) (since 25 Feb 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 28 Oct 2016)
    • CF11 Money Laundering Reporting (13 Jun 2013 to 8 Dec 2019)
    • CF1 Director (13 Jun 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Jun 2013 to 8 Dec 2019)
    • CF30 Customer (13 Jun 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (13 Jun 2013 to 30 Sep 2018)
  • Leon & Co Financial Services Limited

    FRN 913412

    • (3)Employed By (since 25 Feb 2020)
  • Project Financial Solutions Ltd (no longer approved here)

    FRN 476681

    • CF10 Compliance Oversight (17 Oct 2014 to 1 Jan 2017)
    • CF1 Director (17 Oct 2014 to 1 Jan 2017)
    • CF30 Customer (17 Oct 2014 to 1 Jan 2017)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (21 Apr 2010 to 31 May 2013)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (665)Employed By (21 Apr 2010 to 31 May 2013)

Recent activity

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

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