David Barrett

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.

  • Plain Savings Ltd

    FRN 822862

    • 21. Advising or arranging (bringing about) equity release transactions
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Responsibility for MCD Intermediation (since 1 Sep 2020)
    • [FCA CF] Client dealing (since 20 May 2020)
    • [FCA CF] Functions requiring qualifications (since 20 May 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 26 Feb 2019)
    • [FCA CF] Manager of certification employee (20 May 2020 to 23 Feb 2021)
    • [FCA CF] Significant management (20 May 2020 to 23 Feb 2021)
    • CF11 Money Laundering Reporting (26 Feb 2019 to 8 Dec 2019)
    • CF1 Director (26 Feb 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (26 Feb 2019 to 8 Dec 2019)
    • CF30 Customer (26 Feb 2019 to 8 Dec 2019)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 13 Dec 2007)
    • CF21 Investment Adviser (21 Sep 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (18 Aug 2004 to 21 Sep 2006)
  • Sleight Financial Management Ltd (no longer approved here)

    FRN 207595

    • (5)Employed By (18 Aug 2004 to 13 Dec 2007)

Recent activity

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

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