Colin David Austin

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.

  • Info4 Limited

    FRN 304902

    • 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
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 9A. Advising on P2P agreements
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Mar 2026)
    • SMF16 Compliance Oversight (9 Dec 2019 to 30 Mar 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Mar 2026)
    • SMF3 Executive Director (9 Dec 2019 to 30 Mar 2026)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Mar 2026)
    • Responsible for Insurance Distribution (1 Oct 2018 to 30 Mar 2026)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 30 Mar 2026)
    • CF10 Compliance Oversight (15 Sep 2008 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF28 Systems and controls (1 Nov 2007 to 15 Sep 2008)
    • CF21 Investment Adviser (21 Mar 2005 to 31 Oct 2007)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF14 Risk Assessment (31 Oct 2004 to 31 Oct 2007)
    • CF3 Chief Executive (31 Oct 2004 to 15 Sep 2008)
    • CF8 Apportionment and Oversight (31 Oct 2004 to 31 Mar 2009)
    • CF1 Director (31 Oct 2004 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (31 Oct 2004 to 8 Dec 2019)
    • CF13 Finance (31 Oct 2004 to 31 Oct 2007)
    • CF15 Internal Audit (31 Oct 2004 to 31 Oct 2007)
  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • [FCA CF] Client dealing (23 Aug 2024 to 9 Jan 2026)
    • [FCA CF] Functions requiring qualifications (23 Aug 2024 to 9 Jan 2026)

Recent activity

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

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