Christopher Gareth Davies

Last updated
1 week ago
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Where they hold approval

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

  • CROSSING POINT INVESTMENT MANAGEMENT LIMITED

    FRN 813549

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 1 Aug 2024)
    • [FCA CF] Client dealing (since 1 Aug 2024)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (9 Jan 2019 to 8 Dec 2019)
  • Estate Capital Financial Management Limited

    FRN 402217

    • 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] Functions requiring qualifications (since 1 Jan 2020)
    • [FCA CF] Client dealing (since 1 Jan 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (5 Oct 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Oct 2004 to 8 Dec 2019)
    • CF1 Director (5 Oct 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (5 Oct 2004 to 31 Mar 2009)
    • CF21 Investment Adviser (5 Oct 2004 to 31 Oct 2007)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF21 Investment Adviser (10 May 2004 to 1 Sep 2004)
    • CF22 Investment Adviser (Trainee) (5 Apr 2004 to 10 May 2004)
    • CF1 Director (AR) (5 Apr 2004 to 1 Sep 2004)
  • Estate Capital Financial Management Ltd (no longer approved here)

    FRN 223081

    • (1)Employed By (10 Mar 2003 to 1 Sep 2004)

Recent activity

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

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