Colin William Prescott

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.

  • FSJC Ltd

    FRN 587643

    • 11. Pension transfer specialist
    • 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 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (since 2 Jan 2013)
    • CF1 Director (AR) (21 Dec 2021 to 1 Nov 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Nov 2025)
    • SMF3 Executive Director (9 Dec 2019 to 1 Nov 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Nov 2025)
    • Responsible for Insurance Distribution (1 Oct 2018 to 1 Nov 2025)
    • CF10 Compliance Oversight (2 Jan 2013 to 8 Dec 2019)
    • CF1 Director (2 Jan 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jan 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jan 2013 to 30 Sep 2018)
  • 3DIFS Ltd

    FRN 457891

    • (3)Employed By (since 25 Sep 2012)
    • (6)Employed By (29 Mar 2007 to 26 Jun 2012)
  • CGI Life & Pensions Ltd (no longer approved here)

    FRN 617107

    • Employed By (28 Mar 2014 to 16 Apr 2019)
  • 3 D Employee Benefits Ltd (no longer approved here)

    FRN 490733

    • Employed By (16 Jul 2012 to 11 Apr 2019)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • CF21 Investment Adviser (5 Jan 2005 to 26 Mar 2007)

Recent activity

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

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