Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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DP Pensions Limited
FRN 463171
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF8 Apportionment and Oversight (6 Apr 2007 to 31 Mar 2009)
- CF10 Compliance Oversight (6 Apr 2007 to 8 Dec 2019)
- CF3 Chief Executive (6 Apr 2007 to 8 Dec 2019)
- CF11 Money Laundering Reporting (6 Apr 2007 to 8 Dec 2019)
- CF1 Director (6 Apr 2007 to 8 Dec 2019)
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DP Advisory Limited
FRN 581642
- SMF3 Executive Director (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (8 Apr 2014 to 15 Nov 2018)
- CF1 Director (3 Aug 2012 to 8 Dec 2019)
- CF10 Compliance Oversight (3 Aug 2012 to 8 Dec 2019)
- CF11 Money Laundering Reporting (3 Aug 2012 to 8 Dec 2019)
- Responsible for Insurance Mediation (3 Aug 2012 to 30 Sep 2018)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.