David Geoffrey Simpson

• D S Financial Limited

  FRN 512517

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Proprietary trader (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [PRA CF] Key function holder (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)
  • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 11 Oct 2016)
  • Responsible for Insurance Mediation (22 Feb 2010 to 30 Sep 2018)
  • CF1 Director (22 Feb 2010 to 8 Dec 2019)
  • CF10 Compliance Oversight (22 Feb 2010 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (22 Feb 2010 to 8 Dec 2019)
  • CF30 Customer (22 Feb 2010 to 8 Dec 2019)
• Personal Touch Financial Services Limited (no longer approved here)

  FRN 187834

  • CF1 Director (AR) (10 Dec 2004 to 29 Mar 2006)

No changes recorded yet.