Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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AFS Limited
FRN 196880
- 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
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 7. Giving personal recommendations on long-term care insurance contracts
- SMF3 Executive Director (since 5 Jan 2024)
- Responsible for Insurance Distribution (since 5 Jan 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Jan 2024)
- Responsibility for MCD Intermediation (since 5 Jan 2024)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Significant management (9 Dec 2019 to 26 Mar 2021)
- CF30 Customer (1 Nov 2007 to 19 Nov 2020)
- CF21 Investment Adviser (28 Apr 2003 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 28 Apr 2003)
- CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.