Colin Braceland

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Moorlands Financial Services Ltd

    FRN 494466

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 13 Aug 2020)
    • [FCA CF] Functions requiring qualifications (since 13 Aug 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF8 Apportionment and Oversight (11 Feb 2009 to 31 Mar 2009)
    • CF1 Director (11 Feb 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Feb 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Feb 2009 to 8 Dec 2019)
    • CF30 Customer (11 Feb 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Feb 2009 to 30 Sep 2018)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF21 Investment Adviser (9 Jun 2004 to 22 Sep 2005)
  • Harley Financial Services (no longer approved here)

    FRN 209198

    • (3)Employed By (9 Jun 2004 to 22 Sep 2005)

Recent activity

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

No changes recorded yet.