David Anthony Vickers

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.

  • Cloverleaf Mortgages Ltd

    FRN 313897

    • 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
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 20 Dec 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF28 Systems and controls (1 Nov 2007 to 7 Feb 2011)
    • CF29 Significant management (1 Nov 2007 to 7 Feb 2011)
    • CF21 Investment Adviser (21 Jul 2006 to 31 Oct 2007)
    • CF10 Compliance Oversight (21 Jul 2006 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF1 Director (31 Oct 2004 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (31 Oct 2004 to 8 Dec 2019)
    • CF13 Finance (31 Oct 2004 to 31 Oct 2007)
    • CF14 Risk Assessment (31 Oct 2004 to 31 Oct 2007)
    • CF15 Internal Audit (31 Oct 2004 to 31 Oct 2007)
    • CF19 Significant Mgt (Financial Resources) (31 Oct 2004 to 31 Oct 2007)
    • CF3 Chief Executive (31 Oct 2004 to 7 Feb 2011)
    • CF7 Sole Trader (31 Oct 2004 to 31 Jan 2007)
    • CF8 Apportionment and Oversight (31 Oct 2004 to 31 Mar 2009)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF1 Director (AR) (31 Oct 2004 to 9 Dec 2004)
  • Cloverleaf Mortgages Ltd (no longer approved here)

    FRN 407713

    • Employed By (31 Oct 2004 to 9 Dec 2004)

Recent activity

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

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