Daniel Marcus Cawley

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • 121 FS Ltd

    FRN 656882

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 8 Dec 2016)
    • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
    • CF30 Customer (1 Apr 2015 to 8 Dec 2019)
    • CF1 Director (1 Apr 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Apr 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Apr 2015 to 30 Sep 2018)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (25 Jun 2010 to 9 Jul 2015)
    • CF4 Partner (AR) (13 May 2010 to 7 Jul 2015)
  • 121 Financial Services (no longer approved here)

    FRN 523783

    • Employed By (13 May 2010 to 9 Jul 2015)

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

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