Colin Alexander McGugan

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.

  • CAILEAN LTD

    FRN 740111

    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Nov 2023)
    • [FCA CF] Client dealing (since 23 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 23 Nov 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 3 Oct 2016)
    • CF10 Compliance Oversight (3 Oct 2016 to 8 Dec 2019)
    • CF1 Director (3 Oct 2016 to 8 Dec 2019)
    • CF30 Customer (3 Oct 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Oct 2016 to 30 Sep 2018)
  • Fairstone Financial Management Limited (no longer approved here)

    FRN 475973

    • CF30 Customer (2 Nov 2012 to 15 Nov 2016)
  • Melville Independent plc (no longer approved here)

    FRN 550326

    • Employed By (17 Jun 2011 to 31 Dec 2012)
  • Money Aspects Ltd (no longer approved here)

    FRN 228976

    • (27)Employed By (17 Mar 2005 to 2 Feb 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (7 Nov 2003 to 12 Nov 2004)
    • CF22 Investment Adviser (Trainee) (22 Jul 2002 to 7 Nov 2003)

Recent activity

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

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