Christopher David Newcombe

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.

  • Christopher Newcombe

    FRN 401833

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (4 Oct 2004 to 31 Oct 2007)
    • CF10 Compliance Oversight (4 Oct 2004 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Oct 2004 to 8 Dec 2019)
  • DB Financial Limited (2958) (no longer approved here)

    FRN 194612

    • (2)Employed By (1 Dec 2001 to 5 Dec 2003)
  • C D N Investment Management (1836) (no longer approved here)

    FRN 172243

    • Employed By (1 Oct 1998 to 3 Oct 2004)

Recent activity

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

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