Christopher Edward Ingram Yates

Last updated
5 days ago
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Where they hold approval

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

  • Eastern Financial Consultants Ltd

    FRN 952886

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 1 Sep 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Sep 2021)
    • SMF3 Executive Director (1 Sep 2021 to 1 Dec 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (1 Sep 2021 to 1 Dec 2025)
  • Lyncombe Consultants Limited (no longer approved here)

    FRN 618025

    • [FCA CF] Functions requiring qualifications (26 Nov 2020 to 31 Aug 2021)
    • [FCA CF] Client dealing (26 Nov 2020 to 31 Aug 2021)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (22 Aug 2008 to 21 Sep 2012)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (1 Nov 2007 to 27 Jun 2008)
    • CF21 Investment Adviser (15 Oct 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 16 Aug 2002)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (28 Apr 2003 to 5 Jun 2003)
    • CF22 Investment Adviser (Trainee) (25 Feb 2003 to 28 Apr 2003)
  • The David Hewson Practice Ltd (no longer approved here)

    FRN 216475

    • (15)Employed By (1 Aug 2002 to 2 Feb 2003)

Recent activity

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

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