Claire Louise Markham

Last updated
3 weeks ago
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Where they hold approval

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

  • F.H. MANNING FINANCIAL SERVICES LIMITED

    FRN 114341

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • Responsible for Insurance Distribution (since 21 Dec 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 20 Dec 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 May 2007 to 1 Jun 2013)
    • CF10 Compliance Oversight (4 May 2007 to 8 Dec 2019)
    • CF1 Director (14 Jan 2005 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (3 Jun 2003 to 31 Oct 2007)
    • CF21 Investment Adviser (3 Jun 2003 to 31 Oct 2007)

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