Colin David Tate

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.

  • PP Wealth Limited

    FRN 598247

    • 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
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (7 Jun 2013 to 8 Dec 2019)
    • CF1 Director (7 Jun 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Jun 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 Jun 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (7 Jun 2013 to 30 Sep 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF21 Investment Adviser (16 Jan 2002 to 30 Nov 2005)
    • CF22 Investment Adviser (Trainee) (16 Jan 2002 to 16 Jan 2002)
  • Provision Financial Consultants Ltd (no longer approved here)

    FRN 165941

    • Employed By (6 Jul 2000 to 30 Nov 2005)

Recent activity

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

No changes recorded yet.