Colin Andrew Fawcett

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.

  • Prosperity Financial Management Limited

    FRN 1006940

    • (14)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (15)4. Giving personal recommendations on retail investment products which are not broker funds
    • (22)[FCA CF] Functions requiring qualifications (since 4 Apr 2024)
    • (21)[FCA CF] Client dealing (since 4 Apr 2024)
    • (18)SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Apr 2024)
    • (16)Responsibility for MCD Intermediation (since 2 Apr 2024)
    • (17)Responsible for Insurance Distribution (since 2 Apr 2024)
    • (19)SMF16 Compliance Oversight (since 2 Apr 2024)
    • (20)SMF3 Executive Director (since 2 Apr 2024)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 28 Mar 2024)
    • CF30 Customer (1 Nov 2007 to 28 Mar 2024)
    • CF1 Director (AR) (6 Mar 2006 to 28 Mar 2024)
    • CF21 Investment Adviser (6 Mar 2006 to 31 Oct 2007)
  • Ten Insurance Services Limited (no longer approved here)

    FRN 314593

    • CF4 Partner (AR) (25 May 2011 to 23 Mar 2022)
  • Prosperity Commercial Insurance Brokers LLP (no longer approved here)

    FRN 447518

    • (1)Employed By (25 May 2011 to 28 Mar 2024)
  • Prosperity Financial Management Ltd (0596) (no longer approved here)

    FRN 224964

    • Employed By (20 May 2003 to 28 Mar 2024)

Recent activity

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

  1. controlled function removed: [FCA CF] Client dealing at Prosperity Financial Management Limited

  2. controlled function removed: Responsibility for MCD Intermediation at Prosperity Financial Management Limited

  3. controlled function removed: SMF16 Compliance Oversight at Prosperity Financial Management Limited

  4. controlled function removed: SMF3 Executive Director at Prosperity Financial Management Limited

  5. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at Prosperity Financial Management Limited

  6. controlled function removed: Responsible for Insurance Distribution at Prosperity Financial Management Limited

  7. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO) at Prosperity Financial Management Limited

  8. controlled function removed: 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at Prosperity Financial Management Limited

  9. controlled function removed: [FCA CF] Functions requiring qualifications at Prosperity Financial Management Limited

  10. controlled function added: (14)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at Prosperity Financial Management Limited

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