Colin Of Mar

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.

  • Colin Of Mar

    FRN 561193

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (3 Jan 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2012 to 8 Dec 2019)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (30 Sep 2011 to 31 Dec 2011)
  • Falcon Financial Advice Limited (no longer approved here)

    FRN 401814

    • (69)Employed By (30 Sep 2011 to 31 Dec 2011)

Recent activity

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

No changes recorded yet.