Charles Nicholas Frank

Last updated
3 weeks ago
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Where they hold approval

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

  • Weston-Cummins Limited

    FRN 147608

    • 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)
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 19 Sep 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 19 Sep 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 19 Sep 2023)
    • SMF3 Executive Director (9 Dec 2019 to 19 Sep 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 19 Sep 2023)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (19 Sep 2003 to 31 Oct 2007)
    • CF10 Compliance Oversight (19 Sep 2003 to 8 Dec 2019)
    • CF1 Director (19 Sep 2003 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)

Recent activity

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

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