Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Abbey Financial Services (N.I.) Ltd
FRN 503326
- 4. Giving personal recommendations on retail investment products which are not broker funds
- SMF16 Compliance Oversight (since 16 Jan 2023)
- Responsibility for MCD Intermediation (since 16 Jan 2023)
- SMF1 Chief Executive (since 16 Jan 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Jan 2023)
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF1 Director (14 Feb 2012 to 8 Dec 2019)
- CF30 Customer (10 Nov 2009 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.