Charles John Dennis Walford

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.

  • Walford and Phelps (no longer approved here)

    FRN 480909

    • SMF16 Compliance Oversight (9 Dec 2019 to 25 May 2022)
    • SMF27 Partner (9 Dec 2019 to 25 May 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 25 May 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 25 May 2022)
    • CF8 Apportionment and Oversight (6 Jun 2008 to 31 Mar 2009)
    • CF10 Compliance Oversight (6 Jun 2008 to 8 Dec 2019)
    • Responsible for Insurance Mediation (6 Jun 2008 to 30 Sep 2018)
    • CF4 Partner (6 Jun 2008 to 8 Dec 2019)
    • CF30 Customer (6 Jun 2008 to 31 Dec 2012)
    • CF11 Money Laundering Reporting (6 Jun 2008 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.