Christopher John Shaw

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • [FCA CF] Functions requiring qualifications (since 26 Feb 2026)
    • [FCA CF] Client dealing (since 26 Feb 2026)
  • Christopher Shaw

    FRN 301880

    • 17. Administrative functions in relation to managing investments
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (since 1 Nov 2007)
    • CF1 Director (AR) (since 31 May 2006)
    • CF11 Money Laundering Reporting (15 May 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Jun 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (8 Jun 2005 to 31 Oct 2007)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF7 Sole Trader (31 Oct 2004 to 31 Jan 2007)
  • Face to Face Retirement Solutions Ltd

    FRN 732363

    • (1)Employed By (since 26 Jan 2016)
  • Face to Face Financial Solutions (Leeds) Ltd

    FRN 499994

    • (1)Employed By (since 14 May 2012)
  • Face to Face Mortgage Solutions Ltd

    FRN 474627

    • (1)Employed By (since 30 Apr 2008)
  • Throgmorton Wealth and Pensions Ltd (no longer approved here)

    FRN 568181

    • Employed By (14 Mar 2012 to 1 Aug 2024)

Recent activity

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

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